Draft general budget of the European Union for the financial year 2019 : working document. Part I, Programme statements of operational expenditure.
Date: 2018-11-09
Institutions: Directorate-General for Budget
Subjects: EU budget, budgetary expenditure, budgetary resources, draft budget (EU), drawing up of the EU budget, financial management, implementation of the budget, multiannual financial framework

Draft General Budget  
of the European Union  
for the financial year 2019 

Working document Part I 
Programme Statements of operational expenditure 

COM(2018) 600 - May 2018 

 
 
 
 
 
 
  
 
 
 
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2019 Draft Budget is accompanied by twelve ‘Working Documents’, as follows: 

Part I: Programme Statements of operational expenditure 

Draft Budget Working Documents 

Working  Document  I  contains Programme  Statements,  which  constitute  the  main  instrument  for  justifying  the  operational 
appropriations requested by the Commission in the Draft Budget. These Statements are coherent with the corresponding legal 
bases and provide details on the resources which are dedicated to each spending Programme. 

Part II: Human Resources of the EU institutions and executive agencies 

Working  Document  II  presents  information  on  the  human  resources  of  the  EU  institutions  and  executive  agencies,  and  in 
particular  for  the  Commission,  both  for  the  establishment  plans  and  for  external  personnel,  across  all  headings  of  the 
multiannual  financial  framework.  Moreover,  pursuant  to  Article  38(3)(b)(v)  of  the  Financial  Regulation,  it  provides  a 
summary table for the period 2014 – 2018 which shows the number of full-time equivalents for each category of staff and the 
related appropriations for all institutions and bodies referred to in Article 208 of the Financial Regulation. 

Part III: Bodies set up by the European Union having legal personality and Public-private partnership 

Working  Document  III  presents  detailed  information  relating  to  all  decentralised  agencies,  executive  agencies  and  Public-
Private  Partnerships  (joint  undertakings  and  joint  technology  initiatives),  with  a  transparent  presentation  of  revenue, 
expenditure and staff levels of various Union bodies, pursuant to Articles 208 and 209 of the Financial Regulation. 

Part IV: Pilot projects and preparatory actions 

Working Document IV presents information on all pilot projects and preparatory actions which have budget appropriations 
(commitments and/or payments) in the 2019 Draft Budget, pursuant to Article 38(3)(c) of the Financial Regulation. 

Part V: Budget implementation and assigned revenue 

Working  Document  V  presents  the  budget  implementation  forecast  for  2019,  information  on  assigned  revenue 
implementation in 2017, and a progress report on outstanding commitments (RAL) and managing potentially abnormal RAL 
(PAR) for 2017. 

Part VI: Commission expenditure under the administrative heading of the multiannual financial framework 

This  document  encompasses  administrative  expenditure  under  to  be  implemented  by  the  Commission  under  the 
administrative heading of the multiannual financial framework (heading 5) in accordance with Article 317 of the Treaty on 
the Functioning of the European Union, as well as the budgets of the Offices (OP, OLAF, EPSO, OIB, OIL and PMO). 

Part VII: Commission buildings 

Working Document VII presents information on buildings under Section III - Commission, pursuant to Article 203(3) of the 
Financial Regulation. 

Part VIII: Expenditure related to the external action of the European Union 

Working  Document  VIII  presents  information  on  human  resources  and  expenditure  related  to  the  external  action  of  the 
European Union. 

Part IX: Funding to international organisations 

Working Document IX presents funding provided to international organisations, across all MFF headings, pursuant to Article 
38(3)(d) of the Financial Regulation. 

Part X: Financial Instruments 

Working Document X presents the use made of financial instruments, pursuant to Article 38(5) of the Financial Regulation. 

Part XI: EU Trust funds 

Working Document XI presents the activities supported by EU Trust Funds, their implementation and performance. 

Part XII: Payment schedules  
Working Document XII presents summary statements of the schedule of payments due in subsequent years to meet budgetary 
commitments entered into in previous years, pursuant to Article 38(3)(f) of the Financial Regulation. 

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Table of Contents 

I. INTRODUCTION ............................................................................................................................................................................... 4 

II. PROGRAMME  STATEMENTS ................................................................................................................................................... 15 

HEADING 1A: Competitiveness for growth and jobs 

 16 
Implementation and exploitation of European satellite navigation systems (EGNOS and Galileo) ............................................... 17 

International Thermonuclear Experimental Reactor (ITER) ........................................................................................................... 24 
European Earth Observation Programme (Copernicus) .................................................................................................................. 29 

European Fund for Strategic Investments (EFSI) ........................................................................................................................... 36 
Nuclear decommissioning assistance programmes in Bulgaria and Slovakia ................................................................................. 41 

Nuclear decommissioning assistance programme in Lithuania ...................................................................................................... 46 
The Framework Programme for Research and Innovation (Horizon 2020) .................................................................................... 49 

Euratom Research and Training Programme .................................................................................................................................. 73 
Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) ...................................... 84 

The Union Programme for Education, Training, Youth and Sport (Erasmus+) ............................................................................ 100 
European Union Programme for Employment and Social Innovation (EaSI) .............................................................................. 114 
European Solidarity Corps (ESC) ................................................................................................................................................. 122 

Action programme for customs in the European Union (Customs 2020) ..................................................................................... 125 
Action programme for taxation in the European Union (Fiscalis 2020) ....................................................................................... 132 

Programme to promote activities in the field of the protection of the financial interests of the European Union (Hercule III) ... 138 
Exchange, assistance and training programme for the protection of the euro against counterfeiting (Pericles 2020) .................. 141 

Anti-Fraud Information System (AFIS) ........................................................................................................................................ 145 
Connecting Europe Facility (CEF)................................................................................................................................................ 150 

Interoperability Solutions and common frameworks for European public administrations, businesses and citizens (ISA2) ....... 173 
European statistical programme (ESP) ......................................................................................................................................... 176 

Specific activities in the field of financial reporting and auditing ................................................................................................ 184 
Enhancing consumers involvement in EU policy making in the field of financial services ......................................................... 187 

European Defence Industrial Development Programme ............................................................................................................... 190 

HEADING 1B :  Economic, social and teritorial cohesion 

European Social Fund (ESF) ......................................................................................................................................................... 193 
European Regional Development Fund (ERDF)........................................................................................................................... 203 

Cohesion Fund (CF) ...................................................................................................................................................................... 218 
Fund for European Aid to the Most Deprived ............................................................................................................................... 227 

HEADING 2: Sustainable growth: natural resources 

Common Agricultural Policy (CAP) - European Agricultural Guarantee Fund (EAGF) and European Agricultural Fund for Rural 
Development (EAFRD) ................................................................................................................................................................ 231 

European Agricultural Guarantee Fund (EAGF) .......................................................................................................................... 235 
European Agricultural Fund for Rural Development (EAFRD) ................................................................................................... 253 

European Maritime and Fisheries Fund (EMFF) .......................................................................................................................... 267 
Programme for the Environment and Climate Action (LIFE)....................................................................................................... 279 

Compulsory contributions to Regional Fisheries Management Organisations (RFMOs) and other international organisations and 
Sustainable Fisheries Partnership Agreements (SFPAs) ............................................................................................................... 297 

HEADING 3: Security and citizenship 

Asylum, Migration and Integration Fund ...................................................................................................................................... 303 
Internal Security Fund ................................................................................................................................................................... 313 

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Justice Programme ........................................................................................................................................................................ 324 
Rights, Equality and Citizenship programme ............................................................................................................................... 332 

Europe for Citizens ....................................................................................................................................................................... 345 
Union Civil Protection Mechanism - Heading 3 ........................................................................................................................... 351 

Food and Feed ............................................................................................................................................................................... 358 
Union action in the field of health (Health Programme) ............................................................................................................... 367 

Consumer Programme................................................................................................................................................................... 375 
Creative Europe Programme ......................................................................................................................................................... 386 

Statement on Financial Intervention of the Communication Policy Area ..................................................................................... 398 

HEADING 4: Global Europe 

Instrument for Pre-accession Assistance (IPA II) ......................................................................................................................... 406 

Instrument of financial support for encouraging the economic development of the Turkish Cypriot community and amending 
Council Regulation (EC) No 2667/2000 on the European Agency for Reconstruction ................................................................ 420 

European Neighbourhood Instrument (ENI) ................................................................................................................................. 425 
Development Cooperation Instrument (DCI) ................................................................................................................................ 441 

Partnership instrument for cooperation with third countries (PI) .................................................................................................. 465 
European Instrument for Democracy and Human Rights (EIDHR).............................................................................................. 476 

Instrument contributing to Stability and Peace ............................................................................................................................. 487 
Humanitarian aid ........................................................................................................................................................................... 498 

Common foreign and security policy (CFSP) ............................................................................................................................... 505 
Instrument for Nuclear Safety Cooperation (INSC) ...................................................................................................................... 515 

Union Civil Protection Mechanism - Heading 4 ........................................................................................................................... 521 
EU Aid Volunteers initiative (EUAV) .......................................................................................................................................... 526 

European Fund for Sustainable Development (EFSD) ................................................................................................................. 533 
Cooperation with Greenland ......................................................................................................................................................... 537 

Financial Statement for the Macro Financial Assistance (MFA) .................................................................................................. 542 
Special Instruments ............................................................................................................................................................................... 547 
European Globalisation Adjustment Fund (EGF) ......................................................................................................................... 547 
European Union Solidarity Fund (EUSF) ..................................................................................................................................... 551 

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I. INTRODUCTION  

In  budgetary  terms,  2017  was  the  fourth  year  of  implementation  of  the  current  Multiannual  Financial  Framework.  Most  spending 
programmes are now fully operational following the delays at the beginning of the implementation period and results are starting to be 
felt on the ground. Investment continued to be a major focus with the continued implementation of the European Fund for Strategic 
Investments  to  bridge  Europe’s  investment  gap.  The  budget  was  also  mobilised  to  support  the  development  of  a  comprehensive 
European response to the internal and external aspects of migration, and to respond to growing and diverse security threats.  Being at 
mid-term  in  the  implementation  of  current  programmes,  in  2017  a  number  of  interim  evaluations  were  finalised,  providing  a 
comprehensive analysis on the EU added value, relevance, effectiveness, efficiency and coherence of the programmes. 

The EU budget is key for implementing European policies and priorities. Its programmes are multiannual in nature, providing a stable 
and predictable framework  which is ideally suited to supporting strategic investments over the medium to longer term. It leverages 
national  budgets  and  other  policy  instruments  at  European  level  to  address  the  many  challenges,  and  opportunities,  faced  by  the 
Union.  Unlike  national  budgets,  the  EU  budget  is  predominantly  focused  on  investment.  The  EU  budget  focuses  on  areas  where 
pooling  resources  to  tackle  common  challenges  can  deliver  results  for  all  European  citizens,  which  could  not  be  achieved  as 
effectively or efficiently by Member States acting alone.  In all these areas, the EU budget is uniquely placed to deliver for all. This is 
the essence of ‘European added value’.  

Although the EU budget represents around 1% of EU Gross National Income (GNI), and just above 2% of all public spending in the 
EU,  actions  supported  are  important  tools  for  the  achievement  of  many  of  the  EU  strategic  priorities.  The  Multiannual  Financial 
Framework 2014-2020 (MFF) and its spending programmes contribute to the achievement of the Europe 2020 political objectives of 
smart, sustainable and inclusive growth. In line with the Europe 2020 strategy, the 10 Juncker priorities provide a clear and focussed 
agenda for the Commission. 

Strengthening performance is an overarching goal for the Commission ("Every action we take must deliver maximum performance 
and value added") and efforts are continued to deliver the best possible results with the EU budget, also through the joint action of its 
Programmes to tackle unexpected crises. The EU Budget Focused on Results aims to a continuous improvement of the EU funding 
closer to priorities, diversifying the delivery mix by adding financial instruments to traditional grant schemes, and by simplifying the 
rules for spending and implementation, thereby optimising the cost-effectiveness of the underlying control framework. 

The  Commission's  institutional  performance  framework  is  aligned  with  the  political  priorities  and  is  articulated  through  the 
performance  frameworks  of  EU  spending  programmes  defined  in  their  relevant  legislation.  The  aim  is  to  provide  the  Budgetary 
Authority  (the  European  Parliament  and  the  Council)  with  adequate  performance  information  on  programmes  and  activities,  to 
support  its  decision-making  on  the  allocation  of  resources.  The  performance  framework  for  each  spending  programme  under  the 
2014-2020 MFF is set in the relevant implementing basic act, defining objectives and setting out indicators to measure progress, as 
well  as  monitoring,  reporting  and  evaluation  arrangements1.  The  implementation  of  the  performance  framework  is  updated  once  a 
year  in  this  working  document  accompanying  the  draft  budget  i.e.  the  Programme  Statements.  The  annual  Management  and 
Performance Report for the EU Budget2 brings together information on both the performance and management of the EU budget and 
provides a holistic view on how the EU budget is being used to support the Union's political priorities. In 2017, the Commission also 
carried out a Spending Review to prepare the next MFF. In this review the Commission carried out a detailed bottom-up analysis of 
all spending programmes based on all available information, amongst which the programme statements of 20173. 

Programme Statements overview  
Purpose and structure of the document 

The Financial Regulation (Art. 38(3)(e)) requires the Commission to prepare Programme Statements to justify the funding requested 
for each of the EU spending programmes. Programme Statements need to be coherent with the corresponding legal bases and provide 
details on the resources which are dedicated to each spending programme. Programme Statements is a working document attached to 
the Draft Budget (DB) supporting the Commission requests for the annual budget allocations for the operational expenditure. 

BFo

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1 This framework has been described and has been communicated to the other EU institutions through SWD (2014)200 

2  https://ec.europa.eu/info/publications/2015-annual-management-and-performance-report-eu-budget_en  
3 COM (2018) 171 Final Spending Review  

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Programme Statements provide information for each of the spending programmes on: 

 
 
 

rationale and EU added value of each programme, 
implementation (actual and forthcoming) overview; 
progress on programme performance (objectives, indicators, milestones and targets) and contribution to the main EU policies 
and objectives. 

The  Programme  Statements  document  includes  primarily  all  EU  spending  programmes  (as  defined  under  the  MFF)  but  also 
statements on financial intervention for activities that do not require a specific legal basis but have significant budgetary impact. The 
programmes are classified per budgetary heading, and each Programme Statement follows the same structure organised around three 
sections: the first section is intended to give the reader rapid information 
what  the  programme  is  about  and  highlight  the  European  added  value, 
the  second  section  provides  update  on  the  recent  evolution  in  the 
implementation  of  the  programmes;  the  third  section  provides  evidence 
on  performance  and  comparability  across  the  years  allowing  for  the 
analysis  of  EU  programmes'  performance  in  a  wider  multi-annual 
context,  taking  into  account  evaluation  results  of  the  predecessor 
programmes. 

Programme  Statements  were  first  introduced  for  DB  2014  and  are 
updated  each  year  in  the  context  of  the  DB  procedure.  Programme 
Statements  are  discussed  in  the  annual  budgetary  hearings  between  the 
responsible  for  the  programmes  and  other  Commission  services  and 
revised, if needed, based on the outcome of the budgetary hearings. 

For  the  DB  2019  exercise,  the  structure  of  Programme  Statements 
remains fairly stable introducing a very limited number of improvements 
and  modifications. These changes reflect the commitments made  by the 
Commission  to  improve  the  content  of  its  budgetary  documents  and 
make the performance reporting more user-friendly, concise and simpler.  

Programme Statements are a main source of information for the Annual 
Management and Performance Report (AMPR), which is one of the four 
reports composing the Integrated Financial Reporting Package, a central 
input  for  the  annual  ‘discharge  procedure’,  by  which  the  European 
Parliament and the Member  States in the  Council  hold the Commission 
to account for its use of taxpayers’ money. 

I.  Programme  overview  -  this  section  presents  a 
short programme overview and highlights EU added 
value of the programme 
II.  Programme  Update,  based  on  the  latest 
available  performance  data,  provides  an  overview 
on:  





Implementation status (2014-2017) 
Key achievements 
Evaluations/studies conducted 
Forthcoming implementation (2018-2019) 

III.  Programme  key  facts  and  performance 
framework - this section includes:  











Financial programming 
Implementation rates 
Contribution to Europe 2020 Strategy and 
mainstreaming of policies( climate action, 
biodiversity and gender) 
Performance information (general and 
specific objectives) 
Programme contribution to the Sustainable 
Development Goals 
Information  about  financial  instrument(s) 
and trust fund(s)  

The  2019  Programme  Statements  edition  includes  60  programme 
statements,  out  of  which  two  concern  the  programmes  for  which 
adoption  of  the  legislative  acts  are  pending  (i.e.  European  Solidarity 
Corps (ESC) and European Defence Industrial Development Programme (EDIDP), both in heading 1A; three statements on financial 
intervention for activities that are not supported by a particular programme but have significant budgetary impact (i.e.  tasks resulting 
from the Commission prerogatives at institutional level) and two special instruments.  

Link with budgetary nomenclature 

The budget nomenclature provides the clarity and transparency necessary for the budgetary process, facilitating the  identification of 
the main objectives, and discussion of possible choices on political priorities and enabling efficient and effective implementation. It is 
organised around the concept of policy areas (budget titles). Each budgetary title corresponds to one policy area and each chapter, as a 
rule, corresponds to a programme. There is a direct link established between the programme objective(s) and budget line (articles or 
items) with the amounts allocated to the objective(s). In the Programme Statements, the link with budgetary nomenclature is ensured 
by providing side by  side the description and number of the  outputs and the  information on the budget line(s)  which finance these 
outputs.   

Highly specified nature of the framework  

The  EU  budget  is  spent  in  a  very  complex  environment.  Over  30  policy  areas  are  funded  with  multiple  sources  of  funding,  using 
different types of instruments, under different management modes and involving different actors. This requires strong accountability 
and optimal control mechanisms to ensure the budget is properly and effectively spent. 

The  EU  performance  budgeting  system  is  characterised  with  general  guidelines  and  definitions,  standard  templates  for  reporting 
performance  information,  a  standard  set  of  performance  indicators  and  targets  and  a  standard  ICT  tool  for  entering/reporting 
performance information. In the OECD composite index4 the EU performance budgeting system scores considerably higher than all 
countries. This is driven by a high score for the “frameworks” component of the index, reflecting the highly specified nature of the 
EU performance budgeting system. The processes for monitoring and reporting on results in the EU are more elaborate than those in 
OECD countries.  

4 OECD performance budgeting survey presented at 2016 meeting of the OECD Senior Budget Officials Performance and Results Network, OECD Headquarters, Paris, 24-25 November 2016  

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Performance framework  

The MFF translates the Union’s political priorities into financial terms for 7 years setting maximum annual amounts (ceilings) for EU 
expenditure as a whole (in payments appropriations) and for the main categories of expenditure known as headings (in commitment 
appropriations).  The  MFF  hence  supports  the  other  EU  actions,  alongside  legislative,  financial,  fiscal  and  other  means,  to  the 
achievement of the Union's overall and specific objectives as set out in the Treaties and political long-term strategies. It runs over a 
period  long  enough  to  be  effective  and  to  provide  a  coherent  long-term  vision  for  its  beneficiaries  and  co-financing  national 
authorities.  

The 2014-2020 MFF and its constituent programmes have been designed with a focus on European added value to help deliver on the 
commonly agreed goals of the Europe 2020 strategy. While Europe 2020 is central to many of the activities of the EU, they are not 
fully comprehensive of all the activities as the EU has a number of objectives additional to those set out in Europe 2020, such as those 
relating to its activities outside its geographical borders.  

In  the  shorter  term,  the  European  Commission  operates  based  on  policy  priorities  established  by  its  President.  For  the  current 
Commission  in  office,  President  Juncker  has  established  10  political  priorities  to  respond  to  today's  challenges  by  best  using  the 
available instruments for the pursuit of policy, encompassing both budget and legislative means.  

A robust performance framework for the EU budget is a prerequisite for more result-oriented and well-managed EU programmes. For 
the  2014-2020  MFF,  performance  frameworks  were  included  as  a  new  compulsory  feature  in  the  legal  basis  of  all  financial 
programmes.  This  helped  to  reinforce  the  focus  on  results  across  the  budget.  These  frameworks  entail  the  definition  of  clear  and 
measureable objectives and indicators, as well as the necessary monitoring, reporting and evaluation arrangements. 

Performance framework based on complementarity, synergies and mainstreaming  

The performance framework in place is also based on the principles of complementarity of programmes and mainstreaming of some 
policies. Several programmes contribute to one policy and policies are mainstreamed into several programmes. 

For instance, several programmes support implementation of the EU migration policy. EU funding is mainly channelled through the 
Asylum,  Migration  and  Integration  Fund  (AMIF)  and  the  Internal  Security  Fund  (ISF).  The  main  EU  Home  Affairs  Agencies 
involved  (FRONTEX,  EASO,  EUROPOL),  specialise  in  a  variety  of  areas:  migration,  asylum,  border  management,  visa  issues, 
security,  and  law  enforcement.  In  addition,  under  development  cooperation,  the  EU  budget  and  EU  Trust  Funds  as  well  as  the 
European  Development  Fund  (EDF),  outside  the  EU  budget,  address  migration  and  asylum  both  geographically  and  thematically. 
Structural funds in Heading 1b (the European Regional Development Fund (ERDF), the European Social Fund (ESF) and the Fund 
for European Aid to the Most Deprived (FEAD)) can also contribute to address challenges stemming from growing migration flows.  

The same logic applies to the employment policy which is supported through multiple actions financed under COSME, Erasmus +, 
ESF, Rights, Equality and Citizenship programmes to mention some of them. Similarly the Research and Development policy is not 
only supported by Horizon 2020 (H2020) programme but also by European Structural and Investment Funds (ESIF) and ERDF funds. 
The Galileo "fundamental elements" are an example of synergy with the H2020 research programme. 

The system of performance indicators for the EU Budget  

The EU budget  has a  very advanced  framework  for the  measurement and reporting on performance. The leading principles of  this 
system  can  be  found  in  the  Financial  Regulation,  which  requires  the  provision  of  information  on  the  achievements  of  specific, 
measurable, achievable, relevant and timed objectives measured by indicators. The better regulation guidelines provide instructions on 
setting indicators, their link with objectives and stage of implementation of a programme or policy area. 

These principles are implemented in a complex set of indicators contained in the legal basis of the spending programmes. Information 
on these indicators and on the implementation of the programmes is provided  in the programme statements. Beyond the  individual 
programmes, the Commission also reports annually on the performance of expenditures in the Annual Management  and Performance 
Report describing with factual examples how the different programmes contribute to policies achievements. 

Indicators  fulfil  many  functions,  by  leading  to  better  decisions  and  more  effective  actions  by  simplifying,  clarifying  and  making 
aggregated  information  available  to  policymakers;  feeding  programme  information  into  decision-making  and  measuring  and 
calibrating progress toward EU objectives; providing an early warning on programme implementation; and  communicating about the 
EU budget. 

Number of indictors and reporting frequency  
The  current  performance  framework  of  the  spending  programmes  includes  more  than  700  indicators5  measuring  the  performance 
against 61 general and 228 specific objectives.  

Not all of them  measure EU  budget performance directly.  Some provide either  high  level contextual  information (e.g. "the Europe 
R&D target of 3% GDP" or "share of researchers in the EU active population") or process related information (e.g. "quality of project 
applications",  "number  of  participants").  Because  of  data  collection  limitations  or  time  constraints,  not  all  indicators  are  available 
annually. The reporting frequency varies from one programme to another and is influenced mainly by the following three factors: 

5   The current framework uses 716 indicators – this figure does not include the 2 new programmes for which adoption of the legislative acts is pending 

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  The time lag between the input injected and the result generated (e.g. the grants allocated for students under Erasmus+ can be 
monitored on annual basis while the results for the infrastructure investment programmes like CEF will only be known when the 
projects financed will reach the necessary maturity.  

  The  implementation  method  (shared,  direct,  or  indirect)  influences  the  way  performance  data  is  collected,  aggregated  and 
transmitted.  Around  80%  of  the  EU  budget  is  implemented  by  Member  States  (shared  management)  and  the  rest  by  the 
Commission or the executive agencies (direct management), or via agreements with third parties such as the EIB or international 
financial institutions (indirect management).  

  The range of activities covered by the programme. For instance, the cohesion policy has a solid performance framework in terms 
of objectives and indicators in relation with the operational programmes. However, these indicators are not easy to aggregate and 
report on policy achievements because of the diversity of the activities supported by each fund.  

The reporting frequency also depends on whether the data could be collected internally (for example internal Commission databases 
systems, such as H2020, Regional policy projects database or LIFE project database) or whether it is derived from external sources 
such  as  Member  States  (indicators  used  in  the  ESI  funds)  or  international  organisations  (indicators  measuring  Sustainable 
Development  Goals).  In  the  latter  case,  the  delivery  of  the  information  could  be  delayed  as  the  reporting  chain  is  much  longer. 
Moreover some indicators for which the collection of data is expensive or complex can only be collected with reduced frequency (for 
example every 2 or 3 years). As a result, for some objectives the established indicators allow progress to be tracked on an annual basis 
while for some others only the interim evaluations will deliver tangible indications on performance.  

Indicators in the 2019 Programme Statements 

Analysis of the collected data per programme confirmed that at this stage of implementation actual achievements for almost 90 % of 
the indicators have been already reported (or partially reported). This is a steady increase compared to the previous years (60 % in 
Programme Statements 2017 and 80 % in Programme Statements 2018). The programme statements include data on actual results for 
2014-2016 or 2017. 

The most recent data are available from the programmes directly management by the Commission. In most of the cases, the reported 
achievements are values recorded by the end of 2017. The programmes under share management present values recorded and reported 
by Member States by the end of 2016. The programmes under indirect management present a mixed picture; some have achievements 
reported up to 2017 while the others depend on the reports carried out by the international organisations.  

Practical limits of indicators 

In principle the measurement of performance should highlight strengths and weaknesses, illustrate progress made over time and help 
decision-makers  to  compare  possible  courses  of  action  and  identify  the  most  effective  mechanisms  of  implementation.  Indicators 
should, to the extent possible, provide the most direct evidence of the result they are measuring. However, it is important to stress that 
indicators only are not sufficient to draw conclusions on whether a policy or programme is successful.  The indictors have practical 
limits as to the degree to which they can capture a precise picture of performance: some good indicators rely on information that is at 
times  not  available  on  a  regular  basis;  some  dimensions  of  performance  are  very  difficult  to  measure;  contextual  factors  can 
importantly influence final results, and indicators cannot eliminate or adjust these factors. This set of indicators does not represent any 
judgment.  It  is  an  objective  and  robust  data  source  serving  for  the  first  analysis  of  available  information  to  help  understanding, 
monitoring and for informing.  

EU Budget contribution to Europe 2020 

To  achieve  its  objective  of  smart,  sustainable  and  inclusive  growth,  the  Europe  2020  strategy  includes  five  headline  targets  on 
employment,  research  and  development,  climate  and  energy,  education,  and  the  fight  against  poverty  and  social  exclusion.  These 
headline targets are translated by each Member State into national targets. While Member States are primarily responsible for progress 
towards  these  targets  at  national  level,  the  EU  budget  contributes  to  the  achievement  of  the  headline  targets  at  EU  level.  The 
Commission monitors and reports on the contribution of the EU budget to the EU’s priorities set out in the Europe 2020 strategy6 and 
its headline targets

:  

7

  Raise the employment rate of the population aged 20-64 from the current 69 % to at least 75 %; 
  Achieve the target of investing 3 % of GDP in R&D, in particular by improving the conditions for R&D investment by the 

private sector, and develop a new indicator to track innovation; 

  Reduce greenhouse gas emissions by at least 20 % compared to 1990 levels or by 30 % if the conditions are right; increase 
the share of renewable energy in our final energy consumption to 20 %; and achieve a 20 % increase in energy efficiency; 
  Reduce the share of early school leavers to 10 % from the current 15 %, and increase the share of population aged 30-34 

having completed tertiary education from 31 % to at least 40 %; 

  Reduce the number of Europeans living below nation poverty lines by 25 %, lifting 20 million people out of poverty. 

6 There are three mutually reinforcing priorities: (i) Smart growth – developing an economy based on knowledge and innovation. (ii) Sustainable growth – promoting a 
more  resource  efficient,  greener  and  more  competitive  economy,  (iii)    inclusive  growth  –  fostering  a  high-employment  economy  delivering  economic,  social  and 
territorial cohesion. 
7 The 2020 headline targets are monitored by Eurostat (http://ec.europa.eu/eurostat/web/europe-2020-indicators/europe-2020-strategy): 

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The Europe 2020 priorities of smart, sustainable and inclusive growth are implemented through thematic actions such as innovation, 
education, digitalisation, poverty reduction, employment, competitiveness and resource efficiency in order to catalyse the progress at 
EU level.  

Smart growth 
Innovation 
Education 
Digital society 

Sustainable growth 

Inclusive growth 

Climate, energy and mobility 

Employment and skills 

Competitiveness 

Fighting poverty 

Main programmes contributing to Europe 2020  

Contribution to Europe 2020 should not be confined within the limits of single programmes as it represents the mutually reinforced 
contribution of the EU budget as a whole. Indeed the multi-dimensional character of the initiatives implies a certain thematic overlap. 
Their realisation depends on a multi-level governance based on the effective coordination and management of diverse stakeholders at 
different  levels  (EU,  Member  State,  local  and  regional  levels).  These  aspects  of  the  Europe  2020  framework  make  it  difficult  to 
evaluate the resources allocated in the EU budget to each priority.  

Despite  this  complexity,  since  the  adoption  of  Europe  2020,  the  methodology  to  estimate  the  financial  contribution  of  the  EU 
spending  programmes  has  been  developed  and  introduced  in  the  Programme  Statements.  The  precise  allocation  in  terms  of 
percentages  may  differ  from  one  year  to  another  and  from  one  programme  to  another  as  it  depends  on  the  particularities  of  each 
programme  and  on  specific  priorities  and  actions  planned  for  the  relevant  budgetary  exercise.  The  calculation  of  the  contribution 
corresponds to the best ex-ante estimations based on commitments appropriations, as the precise tracking and calculation of actual 
8
spending on micro level
 would not be cost-effective in terms of sound financial management. It is also important to note that the EU 
funding for many projects (mainly under cohesion, regional, rural development policy, Connecting Europe Facility (CEF) projects and 
others) is topped up with co-financing by Member States, regions and/or private operators. This increases the amount supporting the 
Europe 2020 objectives beyond the amounts included in the EU budget. This is also the case for financial instruments where the EU 
budget acts as a lever to increase public and private investment in key sectors.  

Education  and  training  are  at  the  core  of  Europe  2020  Strategy  for  smart,  sustainable  and  inclusive  growth,  and  of  the  integrated 
guidelines  for  the  economic  and  employment  policies  of  the  Member  States.  Arguably  none  of  the  Europe  2020  priorities  and 
headline targets will be reached without a strong investment in human capital: Youth on the  Move, Agenda for New Skills and Jobs, 
as well as the Digital Agenda, Innovation Union and the Platform against Poverty. Beside these initiatives, the European Social Fund 
is an important tool for offering to the unemployed persons a path back to work. It supports policies and priorities aiming to achieve 
progress towards full employment, enhance quality and productivity at  work, increase the geographical and occupational mobility of 
workers within the Union, improve education and training systems, and promote social inclusion, thereby contributing to economic, 
social  and  territorial  cohesion.  Finally  in  case  of  disruption  generated  by  the  evolving  trade  pattern  or  the  crisis,  the  European 
Globalisation Adjustment Fund (EGF) provides a path to reintegrate workers into the labour market through training. 

Chart 1 Contribution from EU programmes to three priorities over 2014-2019 

Source: European Commission 

Given the high level of complementarity of the programmes, contribution to one of the actions very often triggers positive changes in 
other areas. For example, the general objective of H2020 is to build an economy based on knowledge and innovation across the whole 
Union,  while  contributing  to  sustainable  development.  This  programme  helps  to  generate  more  sustainable  growth  and  create  new 
jobs in the EU and will help raise the percentage of people employed. By contributing directly to R&D expenditure and leveraging 
public and private funds towards this sector, it contributes to increasing the R&D investment in the EU. Finally, in order to promote 
sustainable development, support is provided to climate change and energy research. This will ultimately contribute towards reducing 
emissions,  promoting  renewable  energy  sources  and  increasing  energy  efficiency,  thus  making  progress  towards  the  20/20/20 
climate/energy targets.  

8 

i.e. at the level of individual commitments (procurements, grants…). 

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Meanwhile,  actions  related  to  energy,  climate  and  sustainability  supported  under  CEF,  LIFE+, 
H2020  programmes  and  the  ESI  funds  help  maintaining  the  quality  of  the  environment  and 
enhance  creation  of  sustainable  jobs.  Exploiting  the  potential  of  the  single  market  to  the  full  is 
essential since a better integrated single market produces opportunities for growth for businesses, 
generates  more  employment,  leads  to  knowledge  spillovers  and  expands  the  market  for 
sustainable  products  and  services,  thereby  strengthening  the  competitive  position  of  the  EU. 
Programmes such as COSME, CEF or Customs and Fiscalis are supporting improvements to the 
single  market.  Regional  policy  and  the  Rural  Development  pillar  of  the  Common  Agricultural 
Policy make a significant contribution to all of the Europe 2020 priorities, thereby supporting the 
Commission's  objective  of  strengthening  growth  and  jobs.  Regional  policy’s  general  objective  is  to  reduce  disparities  between  the 
levels of development of the various regions, and to contribute to achieving the targets  set out in the Europe 2020 strategy, and in 
particular towards the achievement of quantitative headline targets identified in that strategy.  

Contribution to the 
Europe 2020 strategy is 
estimated 66.2 % of the 
total Draft Budget 2019 

The table below presents the contribution of the EU budget to the Europe 2020 strategy broken down by priority (Smart, Sustainable, 
and Inclusive Growth). Based on the  Commission's Draft  Budget  for 2019 it is estimated that  EUR  106 958.3 million  (66.2 %) of 
commitment appropriations is linked to the Europe 2020 strategy. This is comparable to the share in the previous budget years and it 
is in line with the overall evolution of the Draft Budget. These resources are split by priorities as follows:  

Programme/Action 

International Thermonuclear Experimental Reactor (ITER) 

Euratom Research and Training Programme 

European Maritime and Fisheries Fund (EMFF) 

The Union Programme for Education, Training, Youth and Sport (Erasmus+) 

European Union Programme for Employment and Social Innovation (EaSI) 

European Social Fund (ESF) 

Instrument of financial support for encouraging the economic development of the Turkish Cypriot community (TCC) 

Partnership instrument for cooperation with third countries (PI) 

EU Aid Volunteers initiative (EUAV) 

The Framework Programme for Research and Innovation (H2020) 

Connecting Europe Facility (CEF) 

Interoperability Solutions for European Public Administrations (ISA2) 

European Regional Development Fund (ERDF) 

European Agricultural Fund for Rural Development (after transfers between EAGF and EAFRD) 

Justice Programme 

Rights, Equality and Citizenship programme 

Union's action in the field of health (Health Programme) 

Consumer Programme 

Connecting Europe Facility (CEF) 

European Agricultural Guarantee Fund (EAGF) 

European Maritime and Fisheries Fund (EMFF) 

Sustainable Fisheries Partnership Agreements (SFPAs) 

Programme for the Environment and Climate Action (LIFE) 

International Thermonuclear Experimental Reactor (ITER) 

Smart Growth (innovation, education, digital society) 

Implementation and exploitation of European satellite navigation systems (EGNOS and Galileo) 

European Earth Observation Programme (Copernicus) 

The Framework Programme for Research and Innovation (H2020) 

Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) 

European Regional Development Fund (ERDF) 

Cohesion Fund (CF) 

European Agricultural Fund for Rural Development (after transfers between EAGF and EAFRD) 

Consumer Programme 

Instrument of financial support for encouraging the economic development of the Turkish Cypriot community (TCC) 

European Globalisation Adjustment Fund (EGF) 

Sustainable Growth (competitiveness, climate, energy and mobility) 

The Union Programme for Education, Training, Youth and Sport (Erasmus+) 

European Maritime and Fisheries Fund (EMFF) 

Instrument for Pre-accession Assistance (IPA II) 

EU Aid Volunteers initiative (EUAV) 

The Framework Programme for Research and Innovation (H2020) 

European Union Programme for Employment and Social Innovation (EaSI) 

2018 Budget  
(incl. AB1 and DAB2-3) 
184.6 

240.5 

49.3 

1 467.6 

21.5 

2 985.6 

2.0 

11.5 

4.2 

7 128.4 

119.7 

17.6 

8 559.6 

439.0 

7.7 

3.1 

29.7 

10.0 
20.450,2 

4 209.2 

3 253.5 

351.1 

2.2 

512.5 

184.6 

804.9 

627.6 

2 362.7 

341.1 

17 987.6 

11 043.2 

11 287.9 

2.5 

3.0 

172.3 

53 146.0 

681.3 

386.8 

30.3 

1.3 

486.0 

85.5 

 (EUR Million) 

Draft Budget 
2019 

199.1 

240.8 

49.7 

1 467.6 

24.0 

3 006.5 

2.0 

12.5 

4.2 

7 619.4 

109.8 

18.0 

8 865.2 

448.5 

7.7 

3.1 

29.7 

10.0 
21.215,6 

5 252.1 

3 278.5 

353.5 

2.1 

542.4 

199.1 

671.8 

874.1 

2 556.9 

349.5 

18 629.9 

21 201.6 

11 531.5 

5.0 

3.0 

175.7 

65 626.7 
681.3 

389.5 

32.3 

1.3 

512.9 

80.2 

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Programme/Action 

European Social Fund (ESF) 

European Regional Development Fund (ERDF) 

Fund for European Aid to the Most Deprived (FEAD) 

European Agricultural Fund for Rural Development (after transfers between EAGF and EAFRD) 

Asylum, Migration and Integration Fund (AMIF) 

Rights, Equality and Citizenship programme 

Union's action in the field of health (Health Programme) 

Instrument of financial support for encouraging the economic development of the Turkish Cypriot community (TCC) 

Instrument for Emergency Support within the Union 

Total Europe 2020 

Total EU Budget (Commission – Section III) 

Europe 2020 / EU Budget 

Inclusive Growth (employment and skills, fighting poverty) 

2018 Budget  
(incl. AB1 and DAB2-3) 
10 585.3 

3 402.3 

555.3 

2 602.2 

53.3 

26.0 

27.0 

2.0 

199.0 

19 123.6 

93 551.1 

156 696.0 

59.7% 

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Draft Budget 
2019 

10 659.5 

3 523.7 

566.4 

2 658.4 

53.3 

26.0 

27.0 

2.0 

0.0 

19 213.8 

106 958.3 

161 500.3 

66.2% 

EU Budget supporting the Commission' political priorities   

The achievement of the 10 political priorities is pursued via a variety of methods including e.g. the EU budget, legislation, policies or 
coordination. The progress is reported in the General Report on the activities of the European Union9. The EU budget therefore is only 
one of the tools supporting the implementation of the 10 political priorities in line with the Europe 2020 strategy. The previous and 
current budget procedures provide a good example of how the specific political priorities such as migration and the agenda  on jobs 
and growth were addressed when deciding on the final allocation of the budgetary funds. There was a particular focus on supporting 
policies to boost competitiveness and economic convergence and to create growth and jobs, as well as on providing financial support 
for  the  response  to  crises,  in  particular  the  refugee  crisis  and  security  threats  derived  from  war  and  instability  in  Europe's 
neighbourhood.  

The  overview  presented  below  highlights  in  particular  the  most  recent  and  relevant  spending  programmes  contributing  to  the 
achievement  of  the  10  priorities  of  the  Juncker  Commission.  This  information  is  not  exhaustive  and  should  be  considered  for 
information purposes. 

Ten priorities of the Juncker Commission 

Contribution from EU Programmes 

1. New boost for jobs, growth and investment 

Numerous programmes under Heading 1A and 1B: 
H2020, CEF, ITER, EGNOS and GALILEO, Euratom, Erasmus+, EaSI, 
COSME and ESF, ERDF, CF 

2. Connected digital single market 

H2020, ERDF, EAFRD, CEF 

3. A resilient Energy Union with a forward-
looking Climate Change Policy 

4. Deeper and fairer internal market with 
strengthened industrial base 

5. A deeper and fairer Economic and 
Monetary Union 

6. A reasonable and balanced Free Trade 
Agreement with U.S. 
7. An area of justice and Fundamental Rights 
based on Mutual Trust 

8. Towards a new Policy on Migration 

9. A stronger Global Actor 

10. A Union of Democratic Change 

Euratom, ITER, ERDF, EAFRD, CF, CEF, EAGF, H2020, LIFE  
Programme + all programmes contributing to the Climate change Policy 
objectives 

EAFRD, ERDF, CF, H2020, Egnos and Galileo, Copernicus, COSME 

Specific activities in the field of financial reporting and auditing  

No spending programme involved 

Justice programme, Rights, Equality and Citizenship Programme, Internal 
Security Fund 

Asylum, Migration and Integration Fund (AMIF), Internal Security Fund (ISF) 

All programmes under Heading 4 

No spending programmes involved, but some actions under Europe for Citizens 
programme 

Mainstreaming cross-cutting aspects into the EU budget  

The EU budget is also an important tool to support the achievement of cross-cutting policy objectives. This has been reflected in the 
2014-2020 MFF which includes provisions that seek to mainstream the EU’s climate, environment and gender objectives in all major 
EU  policies  including  cohesion,  agriculture,  maritime  and  fisheries,  research  and  innovation,  and  external  aid  programmes. 
Mainstreaming  is  to  be  achieved  through  a  range  of  requirements  for  benchmarking,  monitoring  and  reporting  for  all  relevant  EU 
policy instruments. 

9  

http://publications.europa.eu/webpub/com/general-report-2016/en/  

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Climate change 

Climate action is a key priority for the Commission, as also set out in the Europe 2020 strategy. To 
respond to challenges and investment needs related to climate change, the EU has decided that at 
least  20 %  of  its  budget  for  2014-2020  –  as  much  as  EUR  180  billion  over  the  whole  period  − 
should be spent on actions related to talking climate change. To achieve this result, mitigation and 
adaptation  actions  are  being  integrated  into  all  major  EU  spending  programmes,  in  particular 
Cohesion  Policy,  regional  development,  energy,  transport,  research  and  innovation,  the  common 
agricultural policy as well as the EU’s development policy. The climate tracking is done using EU 
climate  markers,  which  adapted  the  OECD's  development  assistance  tracking  ‘Rio  markers’  to 
provide  for  quantified  financial  data.  EU  climate  markers  reflect  the  specificities  of  each  policy 
area,  and  assign  three  categories  of  weighting  to  activities  on  the  basis  of  whether  the  support 
makes a significant (100 %), a moderate (40 %) or insignificant (0 %) contribution towards climate 
objectives. 

Contribution to tackle 
Climate change is 
estimated as 20.3 % of 
the total Draft Budget 
2019 

Climate  mainstreaming  is  expected  to  reach  EUR  32 524.03  million  in  2019  (or  20.3  %  of  the  proposed  total  commitment 
appropriations)  compared  to  EUR  31 388.46  million  in  2018  (or  19.9  %  of  the  total  commitment  appropriations).  On  average,  the 
current forecast for the whole MFF period foresees that 19.3% of the EU budget will be allocated to climate action. The aggregated 
information  related  to  the  mainstreaming  of  climate  action  throughout  the  draft  budget  2019  and  the  consolidated  and  updated 
information  for  the  expenditures  for  the  whole  2014-2020  programming  period  are  presented  in  Annex  III  of  the  Statement  of 
estimates of the European Commission for the financial year 2019. 

Chart 2: Main EU spending programmes contributing to tackle climate change 

35000

30000

25000

20000

15000

10000

5000

0

21,70% 

20,25% 

19,86% 

20,26% 

17,88% 

EAFRD 

EAFRD 

EAFRD 

EAFRD 

25,00%

19,99% 

EAFRD 

20,00%

14,12% 

EAFRD 

EAFRD 

EAGF 

CF 

ERDF 

CEF 
H2020 

2014

EAGF 

CF 

ERDF 

CEF 
H2020 

2015

EAGF 

CF 

ERDF 

CEF 

H2020 

2016

EAGF 

EAGF 

EAGF 

EAGF 

CF 

ERDF 

CEF 

H2020 

2017

CF 

ERDF 

CEF 

H2020 

2018

CF 

ERDF 

CEF 

H 2020 

2019

CF 

ERDF 

CEF 

H2020 

2020

15,00%

10,00%

5,00%

0,00%

Source: European Commission 

Biodiversity 

Protecting  biodiversity  and  strengthening  the  resilience  of  ecosystems  will  make  an  important 
contribution  to  sustainable  growth  objectives.  As  foreseen  in  the  Commission  Communication  ‘A 
budget for Europe 2020’, financing the EU Biodiversity Strategy to 2020 and its objective to halt and 
reverse the decline of biodiversity in the EU requires the mainstreaming of biodiversity throughout the 
EU budget, both within the EU via the main funding instruments and through external action funding. 

Likewise the mainstreaming of the climate  action, the Commission has developed a general approach 
for  tracking  biodiversity-related  expenditure  in  a  consistent  way  across  the  EU  budget  with  detailed 
instrument-specific  guidelines
.  In  addition,  the  Commission  makes  sure  that  spending  under  the  EU 
budget  has  no  negative  impacts  on  biodiversity.  As  support  for  this,  the  "Common  Framework  for 

10

Contribution to 
Biodiversity is 
estimated as 8.3 % of 
the total Draft Budget 
2019 

10   Details are posted on the EU Biodiversity webpages: http://ec.europa.eu/environment/nature/index_en.htm 

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Biodiversity proofing of the EU budget"
as well as by the Commission services.  

11

 provides general and fund-specific guidelines to be used by national and regional authorities 

The total contribution to mainstreaming biodiversity is expected to be EUR 13 281.80 million in 2019 (or 8.3 % of the proposed total 
commitment appropriations) compared to EUR 13 050.77 million in 2018 (or 8.4 % of the total commitment appropriations). For the 
for  the  whole  MFF  period  the  contribution  of  the  EU  budget  is  estimated  to  be  EUR  84 143.54  million,  or  8 %  of  the  total 
commitment  appropriations).  The  aggregated  information  related  to  the  mainstreaming  of  biodiversity  throughout  the  draft  budget 
2019  and  the  consolidated  and  updated  information  for  the  expenditures  for  the  whole  2014-2020  programming  period  are  also 
presented in the Annex III of the Statement of estimates of the European Commission for the financial year 2019. 

Chart 1: Main EU spending programmes contributing to Biodiversity 

16 000,00 € 

14 000,00 € 

12 000,00 € 

10 000,00 € 

8 000,00 € 

9% 

7% 

EAFRD 

6% 

EAFRD 

8% 

8% 

8% 

8% 

EAFRD 

EAFRD 

EAFRD 

EAFRD 

6 000,00 € 

EAFRD 

4 000,00 € 

2 000,00 € 

0,00 € 

EAGF 

CF 
ERDF 

2014

Source: European Commission 

Gender equality 

EAGF 

CF 
ERDF 

2015

EAGF 

EAGF 

EAGF 

EAGF 

EAGF 

CF 
ERDF 

2016

CF 
ERDF 

2017

CF 
ERDF 

2018

CF 
ERDF 

CF 
ERDF 

2019

2020

10%

9%

8%

7%

6%

5%

4%

3%

2%

1%

0%

The Council of Europe defined Gender mainstreaming as "the (re)organisation, improvement, development and evaluation of policy 
processes, so that a gender equality perspective is incorporated in all policies at all levels and at all stages, by the actors normally 
involved  in  policy  making".  Gender  mainstreaming  means  integrating  a  systematic  consideration  of  the  differences  between  the 
conditions, situations and needs of women and men, the relations existing between them and differentiated policy impact on their lives 
in the planning, implementation, monitoring and evaluation of all policies, programmes and activities.  

Gender  equality  is  a  cross-cutting  objective  for  all  policy  areas  in  the  EU  Budget,  including  fundamental  rights  and  citizenship, 
employment and social inclusion, cohesion, education, research and innovation and external cooperation.  

To  promote  equality  between  women  and  men  is  part  of  the  horizontal  principles  of  the 
programmes for Employment and Social Innovation and the European Social Fund (ESF). In 
designing,  implementing  and  reporting  on  the  activities,  beneficiaries/contractors  must  address 
this issue and detail in the final activity report on the steps and achievements made towards this 
goal. Member States have the obligation to programme targeted actions aimed at increasing the 
sustainable  participation  and  progress  of  women  in  employment.  The  ESF  has  a  dedicated 
investment  priority  for  equality  between  men  and  women  in  all  areas,  including  in  access  to 
employment, career progression, reconciliation of work and private life and promotion of equal 
pay for equal work. Member States have earmarked EUR 1.6 billion for  the whole MFF period 
2014-2020  under  this  priority  and  specific  targeted  actions  can  yet  be  programmed  under  any 
other ESF investment priority. Across all investment priorities, the indicative amount for targeted 
actions for gender equality captured through the ESF secondary theme in programmes is EUR 4.7 billion.  

The indicative amount 
for gender equality 
through the  
European Social Fund is 
EUR 4.7 billion 

The gender perspective is also considered during the preparation and implementation of  Rural Development Programmes. All rural 
development measures have the potential to contribute to gender equality to a various extent by providing support to improve  skills, 
facilitate business development, access to broadband, basic services in rural areas, etc. Besides that, contribution to gender equality is 

11   http://ec.europa.eu/environment/nature/biodiversity/comm2006/pdf/cfbp%20-%20General%20Guidance.pdf 

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specifically sought in the rural development policy through thematic sub-programmes for women in rural areas and the obligation to 
respect an ex ante conditionality on gender equality.  

While setting up their Operational Programmes for the European Maritime and Fisheries Fund, responsible Managing Authorities 
in Member States are required to consult bodies promoting gender equality and consider whether the measures targeting women in 
fishing/aquaculture are to be included. They must also ensure publicity for the operational programme by informing bodies involved 
in  promoting  equality  of  the  possibilities  offered  by  the  programme  and  examine  actions  to  promote  equality  between  men  and 
women,  equal  opportunities,  and  non-discrimination.  Although  access  to  a  legal  status  for  all  assisting  spouses  will  constitute  the 
formal recognition of their contribution to fisheries enterprises and will give visibility to women’s participation in the fisheries sector, 
some Member States have yet to give this status to fisherwomen despite the claims of fisherwomen organizations and the available 
EU directives. 

The  Asylum,  Migration  and  Integration  Fund  stipulates  that  eligible  actions  need  to  take  account  of  the  human  rights-based 
approach to the protection of migrants, refugees and asylum seekers, in particular women. Support for third country national  victims 
of trafficking is ensured on this ground.  

In all calls for proposals under the Justice Programme and the Rights, Equality and Citizenship Programme the projects shall seek 
to  promote  equality  between  women  and  men.  In  2017  action  grants  were  launched  to  support  Member  States'  activities  to  fight 
against gender gaps and in 2018 the projects will support and enhance the democratic participation of mobile EU citizens, particularly 
underrepresented  groups  such  as  women,  including  engagement  in  public  debate  and  participation  in  local  and  EU  elections. 
Furthermore, the Programme funds projects to prevent and combat all forms of violence against children, young people and women, 
and to protect victims of such violence. When planning projects, the applicants should demonstrate in their proposal how this will be 
respected at implementation stage and beneficiaries are required to detail in their final activity report the steps and achievements they 
made towards meeting this requirement. 

In Research and Innovation the strategy focuses on: 

  Fostering equal opportunities and gender balance in research teams, in order to close the gaps in the participation of women: in 
the first three  years of  H2020  the share of female  participants in  H2020 projects was 38.9 % of the total workforce, including 
non-researchers, while women represented 35.1 % of project coordinators. 

  Ensuring gender balance in decision-making: the target of 40 % of the under-represented gender in panels and groups and of 50 
% in advisory groups has been reached (respectively 41 % and 55 % in 2016). However, while parity in the earliest stages of the 
research  career  seems  at  hand,  the  levels  of  parity  diminish  as  researchers  move  up  the  ladder  of  career  progression  stages; 
furthermore, these decreases at more senior career stages show no signs of substantial change in recent years.   
Integrating the gender dimension in research and innovation content: since the launch of H2020, 33 % of grants took into account 
the gender dimension in the research and innovation content. 

 

In the  field of  external actions and development  cooperation, the Gender  Action Plan  was established for the period 2016-2020 
covering  the  EU's  activities  in  third  countries.  It  stresses  the  need  for  the  full  realisation  of  women’s  and  girls’  full  and  equal 
enjoyment of all human rights and fundamental freedoms, the achievement of gender equality and the empowerment of women and 
girls.  The  three  thematic  pillars  focus  on  physical  and  psychological  integrity,  promoting  the  social  and  economic  rights  and 
strengthening  girls'  and  women's  voice  and  participation.  Gender  analysis  will  be  done  systematically  for  all  new  external  actions 
undertaken,  and  bilateral  and  regional  programming.  Despite  significant  increase  in  recent  years,  the  overall  funding  resources  for 
gender equality and  women's empowerment actions in external assistance  instruments are  still  not  fully adequate.  A  wide range of 
external assistance instruments support gender equality objectives as for example: 

  The EU Trust Fund for Central African Republic finances specific bilateral or regional development support programmes (e.g. 

women's economic empowerment project); 

  The Pan-African programme on female genital mutilation; 
  The  Global  Public  Goods  and  Challenges  thematic  programme  included  in  the  Development  Cooperation  Instrument  with 

around EUR 100 million committed to improve the lives of girls and women. 

Gender aspects are equally taken into consideration in several other thematic actions in external assistance like food security, rural 
development and private sector development. Gender equality is a  key cross-cutting issue  for the  EU  Instrument contributing to 
Stability and Peace. It is integrated into all actions, both non-programmable crisis response measures and programmable actions on 
conflict  prevention,  peace-building  and  crisis  preparedness  and  in  addressing  global  and  trans-regional  threats.  In  this  regard,  key 
priority is given to ensuring that all actions contribute to delivering on EU commitments on Women, Peace and Security. In 2017 a 
new  action  was  adopted  aiming  to  prevent  the  rise  of  violent  extremism  by  strengthening  capacities  of  local  actors  to  address  its 
gender dynamics. 

Gender balance is consistently ensured in the selection of core team experts (43 % in 2017), observers (49 % in 2017) and participants 
in  training  (54  %  in  2017)  under  the  European  Instrument  for  Democracy  and  Human  Rights,  which  included  gender  as  a 
significant objective in 100 % of its contracted actions. 66 % of the EU Aid Volunteers deployed in 2017 were women. 

The  Common  Foreign  and  Security  Policy,  includes  measures  to  combat  violence  against  women  and  girls  and  to  combat 
discrimination against females.  

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Besides their  general impact  on peace and security and hence their indirect impacts on  reducing sexual and  gender based violence 
(which  are  too  often  even  more  common  in  conflict  affected  areas),  some  non-proliferation  and  disarmament  projects  directly 
mainstream gender issues.  

Currently it is not possible to establish a uniform tracking system which exclusively addresses gender equality and on which basis the 
EU budget contribution to promoting gender equality could be assessed.  

The EU budget and Sustainable Development Goals (SDGs)  

The 2030 Agenda for Sustainable Development and its 17 Sustainable Development Goals (SDGs) and 169 targets, adopted by the 
United Nations (UN) in September 2015, have given a new impetus to global efforts to achieve sustainable development. The EU has 
played an important role in shaping the 2030 Agenda, through public consultations, dialogue with our partners and in-depth research. 
The  EU  is  committed  to  playing  an  active  role  to  maximise  progress  towards  the  SDGs,  as  outlined  in  its  Communication 12  ‘Next 
steps  for  a  sustainable  European  future'.  The  SDGs  are  firmly  anchored  in  the  European  Treaties  and  mainstreamed  in  all  its 
programmes, sectoral policies and initiatives.  

Each  year the  EU continues its efforts to pursue  SDGs playing a key role in supporting, coordinating and complementing Member 
States'  policies  or  sharing  responsibility.  EU  policy  and  regulatory  instruments  address  sustainable  development  challenges  and 
through  its  programmes-in  line  with  the  principle  of  subsidiarity-  the  EU  budget  complements  national  budgets  and  provide  a 
significant contribution to its implementation. 

Indeed,  the  progress  and  achievement  of  SDGs  will  also  depend  largely  on  action  taken  in  Member  States.  The  2019  Programme 
Statements highlight in particular the most recent and relevant initiatives contributing to SDGs, although often in an indirect and not 
quantifiable way. As the SDGs are interlinked, many EU actions can contribute to several SDGs. The overview presented below is not 
exhaustive, but aims to highlight in particular the most recent and relevant initiatives contributing to the achievement of the SDGs. 
This  information  should  be  considered  for  information  purposes  and  does  not  constitute  the  official  reporting  on  the  EU  budget 
contribution towards SDGs. 

SDGs 

EU dimension 

EU Programmes 

SDGs 

EU dimension 

EU Programmes 

End to poverty in all its 
manifestations, including extreme 
poverty, over the next 15 years 

EFSI, Erasmus+, ESC, ESF, 
EAGF, EMFF, AFIS, 
Humanitarian Aid 

End hunger and malnutrition, and 
ensure access to safe, nutritious 
and sufficient food 

Ensure health and well-being for 
all 

EAGF, EMFF, Food&Feed, 
Humanitarian Aid 

EFSI, Erasmus+, ESC, 
EMFF, Food&Feed, Health, 
Humanitarian Aid 

Ensure access to equitable and 
quality education through all 
stages of life 

EFSI, Erasmus+, ESF, 
EAGF, Humanitarian Aid 

Reducing inequalities between and 
within countries and in achieving 
social inclusion and safe migration 

Enriching the quality of life in cities 
and communities, in promoting 
sustainable transport and in alleviating 
adverse environmental impacts 

Decoupling environmental impacts 
from economic growth, in decreasing 
its energy consumption and in tackling 
waste generation and management 

Climate mitigation efforts and in 
establishing climate initiatives. 
Climate impacts are measured to 
assess how and to what extent climate 
change is affecting Europe 

Erasmus+, ESC, 
Customs, ESF, EAGF, 
AFIS, REC, 
Humanitarian Aid 

ITER, EFSI, ESF, EAGF, 
LIFE, 

Customs, LIFE, 
Food&Feed, Consumer,  

LIFE, Humanitarian Aid 

Ending all forms of 
discrimination, violence, and any 
harmful practices against women 
and girls in the public and private 
spheres 

Ensuring universal access to safe 
and affordable drinking water, 
sanitation and hygiene 

Progress made in reducing its 
energy consumption, in securing 
sustainable energy supply and in 
improving access to affordable 
energy 
Fostering sustainable economic 
growth, in increasing employment 
and in providing decent work 
opportunities 

Progress  in strengthening R&D 
and innovation and in promoting 
sustainable transport 

Erasmus+, EaSI, ESC, ESF, 
IcSP, Humanitarian Aid 

Advancing marine conservation, in 
fostering sustainable fishery and in 
ensuring healthy oceans 

EMFF, 

EAGF, Humanitarian Aid 

ITER, EFSI, Euratom, 
EAGF, Consumer, 

EFSI, COSME, Erasmus+, 
EaSI, ESC, Customs, ISA2, 
ESF, EAGF, Creative 
Europe, IPA II,  

ITER, EFSI, COSME, CEF, 
ISA2, ESF, EAGF, 

Improving the status of ecosystems, in 
decelerating land degradation and in 
preserving biodiversity 

EAGF, LIFE,  

Ensuring peace and personal security, 
in promoting access to justice and in 
safeguarding effective justice systems 

Erasmus+, ESC, ESF, 
ISF, Justice, IPA II, 
CFSP, EIDHR,  

Progress in strengthening global 
partnership and in improving the 
financial governance in the EU 

Copernicus, ISA2, CFSP, 
EIDHR, IcSP, 

Considering their wide geographic and thematic scope, the ERDF, CF and DCI programmes contribute to all 17 SDGs. 

12 (COM (2016) 739) 

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EU budget and financial instruments  

The  Union  can  intervene  in  the  economy  and  pursue  its  objectives  by  means  of  traditional  as  well  as  innovative  instruments  in 
addition  to  regulatory  and  other  non-spending  policy  initiatives.  Traditional  direct  non  repayable  subsidies  or  grants  coexist  with 
innovative instruments including sometimes complex market-based tools, categorised under the broad terms of financial instruments 
and budgetary guarantees.  

First launched in the mid-1990s, financial instruments have been growing in importance and scope, albeit accounting for less than 3% 
of  the  EU  budget  (with  grants  at  almost  90%).  More  recently,  EU  policies  have  witnessed  the  further  expansion  of  budgetary 
guarantees: after the External Lending Mandate in 1994 came the European Fund for Strategic Investments (EFSI) in 2015, while the 
European  Fund  for  Sustainable  Development  (EFSD)  is  expected  to  become  operational  still  this  year  after  the  finalisation  of  the 
legislative procedure.  

Finally, the EU can also use blended instruments, characterised by a combination of budget guarantees and/or financial instruments 
and/or grants aiming to further expand the scope of the EU financing supporting sustainable development goals13. 

The shift towards financial instruments and budget guarantees is largely driven by efficiency criteria, notably to maximise the impact 
of EU investments and their leverage effect. These instruments  are aligned with EU spending priorities in different areas, cohesion, 
research and innovation, SME support, climate change and energy, etc. However, grants remain the essential implementation mode in 
the policy areas where market-based tools cannot apply or parts of programmes targeting policy development where beneficiaries are 
public authorities (e.g. taxation, customs, fight against counterfeiting of euro, etc.).  

The 2019 Programme Statements include information on financial instruments financed by the specific programme. This information 
should be considered for information purposes and does not constitute the official reporting on the financial instruments financed by 
the  EU  budget.  The  Working  Document  X  on  financial  instruments  attached  to  the  2019  Draft  Budget  presents  more  detailed 
information on quantitative aspects of the financial instruments.  

EU budget and Trust Funds  

A  Trust  Fund  is  a  legal  arrangement  with  a  distinct  financial  structure  that  pools  the  funds  of  several  donors  to  jointly  finance  an 
action on the basis of commonly agreed objectives and reporting formats. 

Since 2013, the EU has the possibility to create and manage trust funds (EUTFs) in the area of external action. EU Trust Funds offer a 
number of advantages: they are EU-led tools, offering better coordination with EU Member States; better control of operations by the 
Union and other donors and enhanced EU visibility. Trust Funds benefit from fast decision-making processes and from their capacity 
to  pool  larger  sums  from  different  sources  making  them  a  flexible,  proactive  and  adaptable  tool.  The  contributions  from  the  EU 
budget to a EUTF are decided on the basis of financing decisions during the budgetary year, based on implementation needs.  

To date, the Commission has set up 4 EUTFs. The 2019 Programme Statements contain a point indicating how a specific programme 
contributes  to a Trust Fund(s). This information should be considered for information purposes and does  not constitute the official 
reporting on the EU budget contribution to the EUTFs. The Working Document XII on EUTF attached to 2019 Draft Budget presents 
more detailed information on the EU budget contributions to the EUTFs. 

Table 2: List of EUTFs and EU spending programmes contributing to the EUTFs 

EUTF 

Full title 

Origin of EU Budget contribution to EUTFs 

AFRICA EUTF 

The European Union Emergency Trust Fund for 
stability and addressing root causes of irregular 
migration and displaced persons in Africa 

BÊKOU EUTF 

The EU Trust Fund for the Central African Republic 

COLOMBIA EUTF  The European Union Trust Fund for Colombia 

MADAD EUTF 

The EU Regional Trust Fund in Response to the Syrian 
Crisis 

Source: European Commission 

Development Cooperation Instrument (DCI) 
European Neighbourhood Instrument (ENI) 
Humanitarian aid 
Development Cooperation Instrument (DCI)  
Humanitarian aid  
Development Cooperation Instrument  
Humanitarian aid  

Development Cooperation Instrument (DCI)  

European Neighbourhood Instrument (ENI)  

Humanitarian aid  

Instrument for Pre-accession assistance (IPA II)  

II. PROGRAMME  STATEMENTS 
The following sections contain all Programme statements sorted per budgetary heading. 

13  

http://ec.europa.eu/europeaid/policies/innovative-financial-instruments-blending_en. 

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HEADING 1A: Competitiveness for growth and jobs 

Implementation and exploitation of European satellite navigation systems (EGNOS and 
Galileo) 
Lead DG: GROW 

I. Programme Overview 

What the programme is about? 

GALILEO is Europe’s state-of-the-art global navigation satellite system, providing a highly accurate global positioning service under 
civilian control. Galileo consists of a satellite constellation and the necessary ground infrastructure to control the satellites and enable 
the  provision  of  positioning,  navigation  and  timing  services.  Galileo  offers  autonomous  navigation  and  positioning  services,  but  is 
also  compatible  with  the  US  GPS  satellite  navigation  system.  Galileo  is  one  of  the  European  large  infrastructure  projects  and  is 
entirely financed by the EU budget. Galileo ensures Europe’s autonomy in an area that is of strategic importance to both its economy 
and security. Galileo is already used, among others, in mobile phones and car navigation. Galileo could be used for a large number of 
purposes,  including  critical  business  processes  that  require  uninterrupted  navigation,  and  timing  services  needed  for  example  for 
critical applications such as the synchronisation of electricity grids and telecommunication networks.  

EGNOS,  the  European  Geostationary  Navigation  Overlay  Service,  is  a  fully  operational  regional  satellite  navigation  system, 
monitoring  and  correcting  open  signals  emitted  by  the  US  GPS  and  –  in  the  future  –  Galileo.  It  consists  of  several  transponders 
installed on geostationary satellites and a network of ground stations. By improving the accuracy and reliability of the US GPS signal 
over the territory of Europe, EGNOS allows users in Europe to use GPS signals, for instance, for safety-critical applications such as 
operating aircraft. It allows users in Europe and beyond to determine their position to around 1 metre. 

These programmes contribute to stimulating economic activity and technological innovation. They enable traffic management to be 
optimised  whether  on  road,  waterborne  or  aerial.  Better  managed  traffic  not  only  improves  safety  but  also  reduces  pollution  since 
travel is more efficient. Satellite navigation also enables emergency services to better carry out their duties (e.g. in case of fires, road 
accidents, mountain rescue). Another added-value is that the combined use of GPS and Galileo signals allows for better precision and 
availability and opens the door to new applications which are not possible by using GPS alone. 

EU added value of the programme 

The EU’s action is based on Article 172 of the Treaty on the Functioning of the European Union and on the GNSS Regulation (EU) 
No 1285/2013 on the further implementation of the European satellite navigation programmes (EGNOS and Galileo). Today, about 
11% of the EU's GDP, i.e. about EUR 1300 billion, relies on satellite navigation signals, often controlled by third countries.  

EGNOS and Galileo will not only ensure Europe's autonomy, but also provide additional benefits in combination with other GNSS 
(Global  Navigation  Satellite  System).  Such  benefits  will  result  from  the  additional  services  of  the  systems  and  the  increased 
performance coming from additional satellites. Galileo is also the only GNSS specifically designed for civil purposes, i.e. it aims to 
satisfy the needs of the civil sector, in compliance with the most demanding security standards. Billions of users all over the world are 
expected to use Galileo, hence reaching an unparalleled level of outreach compared to any infrastructure owned by the EU. 

Both programmes are complex projects, which exceed the financial and technical capacities of a single Member State. As such, they 
fully fall  within EU competence. Considering their requirements in terms of security, all Member States must be involved in those 
programmes. 

II. Programme Update 

Implementation status (2014-2017) 

Galileo is operational and providing initial services since 2016. While the exploitation phase was launched in 2016, the deployment 
phase will continue in parallel and is due for completion in 2020. By 2020, Galileo will reach full operational capability, providing 
robust positioning and timing services with a high level of performance in terms of availability and accuracy. 

a)  Galileo programme: deployment of space and ground infrastructure 

Deployment  activities  in  2017  included  the  signature  of  a  contract  for  the  purchase  of  additional  satellites,  the  launch  of  the 
procurement  procedure  for  the  completion  of  the  ground  segment,  the  successful  launch  of  an  Ariane-5  launcher  with  4  additional 
Galileo satellites in December, as well as an upgrade of the Galileo operational ground infrastructure. 

The deployment of the Galileo space infrastructure has accelerated and is on track for achieving full operational capability by 2020. 
With another successful launch of four Galileo satellites on an Ariane-5 launcher in December 2017, the Galileo space infrastructure 
consists of 22 satellites. In parallel, the procurement for remaining constellation satellites and replenishment satellites was concluded 
in 2017. In order to initiate the transition between the first and second generation of Galileo satellites and to ensure the maintenance of 
the Galileo constellation in the future, the preparation of the procurement of the so-called ‘transition satellites’ has started end of 2017 
and will be continued in 2018 and 2019. 

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With regard to the Galileo ground infrastructure, the ground mission and ground control segment continued operations of the Galileo 
satellites.  The  European  GNSS  Service  Centre  (GSC)  in  Madrid  (ES)  continued  to  provide  a  single  interface  between  the  Galileo 
system  and  Galileo  users.  To  ensure  independent  monitoring  of  the  Galileo  services,  the  Galileo  Reference  Centre  (GRC)  was 
established in 2016 and will start to operate in Noordwijk (NL) in 2018. In December 2017, the Galileo  Integrated Logistic Support 
(ILS) Centre was inaugurated in Transinne (BE). 

Regarding  security,  key  actions  included  measures  to  ensure  the  accreditation  of  the  system  and  initial  services,  as  well  as  the 
development of operational concepts and procedures for the  Public Regulated Service  (PRS). Furthermore, close coordination  with 
EEAS took place to continue the development of the complete operational procedures. Finally, work has continued on establishing an 
administrative arrangement with ESA on access to PRS technology for the roll-out of the programme. 

To ensure the continuity of services beyond 2020, preparatory work was carried out to develop the High Level Document (e-HLD) 
which describes potential evolution scenarios for Galileo.  This HLD addresses all services, including PRS, as well as the high-level 
objectives for the system security to adapt to the evolution of the threats. In parallel, the Commission has implemented an ambitious 
R&D programme concerning mission and services aspects as well as infrastructure elements, through delegation to ESA. 

b)  Galileo programme: service provision 

Following  the  declaration  of  Initial  Services  on  15  December  2016,  the  Galileo  initial  services  (Open  Service,  Public  Regulated 
Service and Search and Rescue) were continuously provided throughout the year 2017.  The  measuring of the performance of these 
Galileo initial services was carried out in parallel. It showed that the level of availability and accuracy of the services was well in line 
with the minimum performance requirements. 

As of 1 July 2017, the European GNSS Agency (GSA) was in charge of the exploitation phase of the Galileo programme and related 
activities. The handover of operations from ESA to the GSA and to the Galileo Service Operator (GSOp) was successfully completed 
in  July.  The  exploitation  and  deployment  phases  of  the  Galileo  programme  will  continue  in  parallel  until  2020  when  the  system 
reaches full operational capability. 

Following a System delta Critical Design Review that took place in 2016, several Work Plans have been initiated in 2017, including 
the improvement of the Navigation Message for Open Service (I/NAV), Open Service Authentication, Commercial Service Separate 
Encryption and the use of Galileo for Safety of Life. 

c)  EGNOS programme: service provision 

The continuity of EGNOS services, which was one of the priorities of 2017, was successfully ensured. Moreover, the qualification of 
the EGNOS evolution extending the service area to 72th parallel North and including the RIMS in Haifa  was achieved. Finally, the 
evaluation  of  the  new  EGNOS  generation  evolution  (EGNOS  V3)  was  completed  and  the  contract  was  signed  in  January  2018. 
Moreover, the Commission Implementing Decision determining the location of the ground-based infrastructure of the EGNOS system 
was adopted. As regards the security of EGNOS, work focused on establishing the security requirement for EGNOS V3, which was 
endorsed by the GNSS Security Board in February 2017. 

d)  Market uptake 

2017 was a successful year as regards the priority to continue improving the market uptake of Galileo and EGNOS and to implement 
the measures concerning the operational Galileo initial services, identified in the Space Strategy for Europe. The Space Strategy for 
Europe  highlighted  the  importance  of  integrating  Galileo  in  mobile  phones.  In  2017,  the  markets  confirmed  this  as  several  major 
handset manufacturers such as Apple, Samsung and Sony incorporated Galileo within their chipsets. 

Other successful market uptake activities in 2017 included the HELP112 project that ended, and which will have a follow-up in 2018 
and 2019 and the interoperable EU-wide eCall, which ensures compatibility of the eCall system with Galileo and EGNOS, regarding 
which Commission Delegated Regulation (EU) 2017/79 was adopted in January 2017. Furthermore, progress was made with regard to 
electronic road tolling14 that requires compatibility  with the  Galileo and EGNOS, in case  satellite  navigation technology is chosen, 
and in designing a long-term strategy on European GNSS standards as well as a study to develop a long-term standards development 
roadmap.  Implementing  market  uptake  activities  is  also  a  priority  of  the  GSA.  Details  of  its  activities  can  be  found  in  its  market 
report. 

In the field of international cooperation, negotiations with the US and Norway for access to PRS continued. Progress was also made 
in  view  of  the  possible  adoption  of  EGNOS  in  the  Western  Balkans  and  the  European  Neighbourhood  Policy  (ENP)  countries. 
Furthermore, the Commission put forward in 2017 a negotiating mandate for the participation of Switzerland in the GSA. In 2017, the 
Commission put forward a proposal for the conclusion of the agreement with the Agency for Aerial Navigation Safety in Africa and 
Madagascar. 

A cooperation arrangement was signed between DG GROW and the National Space Policy Secretariat of the Cabinet Office of Japan. 
The cooperation agreement aims to enhance EU-Japan policy cooperation in order to prioritise industrial sectors for utilising satellite 
positioning and creating new business services. 

e) 

IPR management  

In 2017, the Commission has granted an extended  licence to two of its contractors to Galileo-related IPR, thus enabling industry to 
make  use  of  European  knowledge  and  assets  generated  under  the  EU  Space  programmes.  The  Commission  started  to  analyse  a 

14 Adoption by the Commission of a proposal for Directive of the European Parliament and of the Council on the interoperability of electronic road toll systems (COM 

(2017) 280 final). 

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number of extended licence requests concerning IPR developed in both Galileo and EGNOS. Thus, it is envisaged that other licences 
are granted in 2018, which demonstrates that the intangible property generated under the EGNSS programmes is capable of providing 
European industry with a competitive advantage to succeed within and across borders. 

Finally, in 2017, a Commission decision was adopted to register the name ‘Galileo’ in the EU Intellectual Property Office, thereby 
providing legal certainty to industry and downstream users of the programme. 

f)  Project management and risk management 

Since 2014 the Galileo programme management processes are described in the Programme Management Plan, which is common for 
the European Commission, European GNSS Agency and European Space Agency15. It sets up a framework for the decision-making 
(boards and meetings), programme management (procurement management, schedule control, budget, cost and cash management, risk 
management) and related regular reporting (monthly, quarterly and annually). The Risk Management Plan details the way the risks are 
identified, classified and treated until their reduction or mitigation. 

Key achievements 

The  governance  framework  of  the  programmes  is  now  successfully  in  place  with  a  clear  division  of  tasks  between  the  European 
Commission, the European Space Agency and the European GNSS Agency, in particular through delegation agreements16. Over the 
past  years,  the  key  priority  has  been  on  the  preparation  of  the  exploitation  phase  of  the  Galileo  programme  in  the  view  of  the 
provision of the full set of Galileo services in 2020, operation and maintenance of the EGNOS services and preparation for the market 
uptake of Galileo and EGNOS services. These achievements can be highlighted as follows: 

1. Declaration of Galileo Initial Services  
The Galileo initial services were declared operational on 15 December 2016. The declaration of Galileo initial services ensures that 
Galileo  is  now  positioned  on  the  global  satellite  navigation  market,  taking  into  consideration  that  the  US  and  Russian  systems  are 
being  modernised  and  the  Chinese  system  is  rapidly  being  developed.  Additionally,  the  declaration  has  given  the  Union  a  much 
stronger position on the world stage in the area of satellite navigation. 

Galileo  Initial  Services  are  fully  interoperable  with  GPS,  and  their  combined  use  will  bring  many  benefits  to  the  end  user.  With 
Galileo  satellites  working  in  conjunction  with  GPS,  there  will  be  more  satellites  available,  meaning  more  accurate  and  reliable 
positioning for end users. Navigation in cities, where satellite signals can often be blocked by tall buildings, will particularly benefit 
from the increased positioning accuracy this will provide. 

Also,  Galileo's  accurate  timing  will  contribute  to  enabling  more  resilient  synchronisation  of  banking  and  financial  transactions, 
telecommunication and energy distribution networks to help them operate more efficiently - an often overlooked, but essential task. 

Finally, Galileo  will help save lives. Galileo’s Search and  Rescue service  reduces drastically the time to detect emergency distress 
beacons from up to three hours to just ten minutes. As distress beacon locations will also be determined more accurately, people lost 
at sea or in the mountains can be rescued more quickly. 

2. Putting into place the framework for the full operational capability of Galileo by 2020 
After the update of the programme implementation framework in 2016, the contract with the Galileo Service Operator was concluded 
end 2016 and the procurement of follow-up contracts for the ground and space segments proceeded well in 2017: an additional batch 
of 12 satellites was ordered while ground segment procurements are ongoing and will be finalised in 2018. 

3. Further acceleration of the Galileo space infrastructure deployment, using Ariane-5 for the first time 
In 2016-2017 ten Galileo satellites were launched successfully. This is an excellent achievement: for the first time in the history of 
spaceflights, four navigation satellites were launched at the same time with Ariane-5 in November 2016 and in December 2017. 

4. Market uptake 
The uptake of Galileo greatly benefitted from the declaration of initial services. A range of products that are Galileo-enabled is now 
on the market. Several major handset manufacturers such as Apple, Samsung, and Sony have now incorporated Galileo within their 
chipsets. Altogether, some 75 million Galileo enabled smartphones were sold in 2017. Further details can be found on the following 
website: http://www.usegalileo.eu/EN/ 

The uptake of EGNOS also further advanced. At the end of 2017 there were 271 EGNOS-enabled airports and 503 EGNOS-based 
procedures in 20 countries in Europe. In road transport the number of trucks using EGNOS for tolling was more than 1,2 millio n. In 
the agriculture domain all GNSS enabled tractors are EGNOS enabled.17 

The implementation of projects from the 1st and 2nd H2020 call fostered the development of new applications. These projects have 
already led to 22 products, 5 patents that were granted and 3 applications for patents that were submitted, 73 advanced prototypes that 

15 The Programme Management Plan is an annex to delegation agreements on the deployment phase of Galileo between the European Commission and European Space 

Agency and on exploitation phase of Galileo between the European Commission and the European GNSS Agency. It was revised in 2016.  

16 The delegation agreements include a clear cost management strategy with dedicated quarterly reporting detailing the actual and planned use of the delegated funds 
and  including  some  performance  indicators.  The  financial  information  is  given  at  contract  level  for  4  different  categories.  All  the  contracts  signed  follow  the 
budgetary rules of best value for money and sound financial management. 

17 Figures provided by the European GNSS Agency. 

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were built and more than 250 publications18. International cooperation activities also contributed to the uptake of Galileo and EGNOS. 
The Korean authorities decided in 2016 to procure in the EU a space based augmentation system based on EGNOS. 

Evaluations/studies conducted 

On 23 October 2017, the Commission adopted a Report to the European Parliament and Council on the implementation Galileo and 
EGNOS  (mid-term  evaluation)  and  on  the  performance  of  the  European  GNSS  Agency19  supported  by  a  staff  working  document 
(SWD) based on a study contracted by the Commission20. The Report states that the implementation of the programmes during the 
period  2014-2016  was  in  line  with  the  objectives  set  for  this  period,  was  carried  out  efficiently  and  in  alignment  with  other  EU 
policies.  However,  the  mid-term  evaluation  identified  some  limits  to  the  full  efficiency  of  the  programmes  such  as  the  significant 
administrative burden triggered by information sharing and the complexity of the current organisation of responsibilities and control 
processes. The Report, the supporting SWD together with Council Conclusions adopted on 5 December 201721 will serve as an input 
to the impact assessment on further implementation of the programmes in the future. 

Forthcoming implementation (2018-2019)  

The priorities for 2018 are to: 

1.  Ensure service continuity for Galileo and EGNOS services; 
2.  Define and carry out the validation campaign of the Galileo Enhanced Service Declaration. Continue preparations for full 

operational capability of Galileo services by end 2020; 

3.  Promote the market uptake of Galileo and EGNOS services by continuing the ongoing activities and by implementing the 

actions proposed in the Space Strategy for Europe; 

4.  Prepare for the further implementation of the programmes after 2020. 

Galileo service provision  
With regard to the Galileo infrastructure, the key actions for 2018 are the following: 

  Space  segment:  launch  of  four  Galileo  satellites  in  2018  (the  last  satellites  of  the  so-called  ‘batch  2’  contract  with  OHB),  
commissioning of new satellites (4 satellites launched in December 2017 by mid-2018 and 4 satellites launched in 2018) and 
initiating the procurement process of the transition satellites with an objective to sign the associated contracts in 2019; 

  Ground  segment:  deployment  of  Galileo  System  Build  SB1.5.1,  signature  of  hosting  agreement  for  a  redundant  Galileo 
Security Monitoring Centre to replace the current GSMC site located in Swanwick (UK); implement a strategy for replacing 
the remote Galileo Sensor Stations deployed in the UK territories (Ascension Island, Falklands) and signature of a contract 
for deployment of the fourth MEOLUT station in La Reunion. 

The key actions regarding the Galileo Services for 2018 are the following: 

  Ensure service continuity for Galileo Initial Services; 
  Define performance targets and conduct validation campaign in view of the Declaration of Galileo Enhanced Services in the 

first half of 2019; 

  Fully operational  independent performance monitoring scheme through the Galileo Reference Centre; 
 

Initial  operational  demonstration  of  the  navigation  message  authentication  for  the  Open  Service  (OS  NMA)  and  the 
Commercial Service. 

With regard to security, key actions will include measures to ensure the accreditation of the system, in particular cybersecurity issues, 
and the development of operational concepts and procedures for the PRS. 

EGNOS service provision 
For  EGNOS  the  continuity  of  services  is  the  key  objective  in  both  the  medium  and  long  term.  This  requires  an  efficient 
implementation of recurring activities, and the preparation of system updates. 

To guarantee the continuity of services beyond 2020 by managing obsolescence, the activities of a new release of the system (V2.4.2-
A)  will  continue  with  the  development  of  CPF  (Central  Processing  Facility)  new  technology,  which  is  most  critical  in  terms  of 
obsolescence. Moreover, a study phase of a new EGNOS evolution (V2.4.2-B) will be completed and followed up by its development 
and qualification including new technology for the channel-C of the Ranging and Integrity Monitoring Stations and the deployment of 
three new such stations to ensure full EU Member States coverage (except possibly Azores). 

The activities leading to EGNOS dual frequency and dual constellation services (i.e. EGNOS V3) will be continued, notably with the 
start  of  the  EGNOS  V3  development  activities,  the  continuation  of  the  development  of  new  geostationary  transponder  services 
(GEO3) and the continuation in drafting the standards for DFMC (Dual Frequency Multi Constellation) SBAS. Work on the security 
of EGNOS will continue, notably with regard to the implementation of EGNOS V3 security requirements. 

Market uptake 
The global uptake of Galileo and EGNOS is a priority of the EU under its Space Strategy and the Commission together with the GSA 
will continue to pursue this with international partners. To support the market uptake of Galileo and EGNOS, the implementation of 

18 Figures provided by the European GNSS Agency. 
19 http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=COM:2017:616:FIN; http://eur-lex.europa.eu/legal-

content/EN/TXT/PDF/?uri=CELEX:52017SC0346&from=EN 

20 Mid-term review of the Galileo and EGNOS programmes and the European GNSS Agency, Final report of 23 June 2017 by PwC France; 

https://publications.europa.eu/en/publication-detail/-/publication/56b722ee-b9f8-11e7-a7f8-01aa75ed71a1 

21 http://data.consilium.europa.eu/doc/document/ST-15435-2017-INIT/en/pdf 

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projects  from  the  1st,  2nd  and  3rd  H2020  calls  will  be  continued.  Fundamental  Elements  will  provide  key  financial  support  to 
developing chipsets and receivers.  

Based  on  the  study  "Overview  of  EGNSS  downstream  standardisation  and  assessment  of  gaps  and  future  needs  to  facilitate  the 
integration of Galileo and EGNOS into user applications" of October 2017, a long term plan for EGNSS downstream standards will 
be  developed.  This  long  term  plan  will  set  out  the  priorities  for  the  coming  years  that  the  Commission  will  pursue  together  with 
relevant  standards  development  organizations,  most  notably  the  European  Committee  for  Standardization  (CEN),  the  European 
Committee for Electrotechnical Standardization (CENELEC) and the European Telecommunications Standards Institute (ETSI).  

Based  on  a  public  consultation  and  an  impact  assessment  in  2018,  a  proposal  for  the  use  of  Galileo  services  for  timing  and 
synchronization  of  European  critical  infrastructures  will  be  prepared. The  follow  up  to  HELP112  will  lead  to  the  deployment  of  a 
caller location using GNSS in calls to emergency services in additional countries by the time the project is completed in 2019. Work 
on a Delegated Act on the inclusion of Galileo in mobile phones for the purposes of emergency calls will continue, with plans to have 
the Delegated Act adopted by mid-2018. 

Preparation of the further implementation of the programmes after 2020 
In 2018, the Commission plans to adopt a proposal for the Multiannual Financial Framework for the period after 2020. In preparation 
for this proposal, the Commission services carry out an impact assessment addressing the further implementation of the EU satellite 
navigation programmes after 2020. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 1285/2013 of the European Parliament  and of the Council of 11 December  2013 on the 
implementation  and  exploitation  of  European  satellite  navigation  systems  and  repealing  Council  Regulation 
(EC) No 876/2002 and Regulation (EC) No 683/2008 of the European Parliament and of the Council 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

7 071,7 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

3,4 
1 322,8 
1 326,2 

2,1 
1 058,5 
1 060,6 

3,4 
848,2 
851,6 

2,5 
895,0 
897,5 

3,0 
804,9 
807,9 

3,0 
671,8 
674,8 

5,0 
1 194,2 
1 199,2 

Total 
Programme 
22,4 
6 795,3 
6 817,7 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

897,465 

100,00 % 

803,962 

99,74 % 

807,859 

0,04 % 

713,000 

14,26 % 

Authorised appropriations (*) 

1 045,473 

88,88 % 

1 061,066 

79,94 % 

942,014 

0,04 % 

941,194 

12,63 % 

(*)  Authorised  appropriations  include  voted  appropriations,  appropriations  originating  from  assigned  revenues  (internal  and  external)  as  well  as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
EGNOS contributed through its Safety of Life Service to the reduction of C02 emissions, in particular of aviation. EGNOS allows for 
landing under difficult weather conditions, thus reducing the number of flight deviations, cancellations and delays. The number of 
airports with EGNOS procedures is about 250 in 2017 

100% (lines 02 05 01; 02 05 02) 

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4. Performance information 
General objectives 

General  Objective  1: Supporting  European  presence  in  space  and  the  development  of  satellite-based  positioning,  navigation  and 
timing services* 
Indicator 1: Market share of EU GNSS industry in worldwide GNSS downstream market 

Baseline22 

EGNOS present in number 
of receiver models in 2012: 
63% 

Baseline23 

Galileo present in number 
of receiver models in 
201224: 35% 

Specific objectives 

2014 
63% 

63% 

2014 
35% 

35% 

2015 
63% 

63% 

2015 
35% 

35% 

Milestones foreseen 

2016 
75% 

Actual results 

68% 

2017 
75% 

68% 

Milestones foreseen 

2016 
45% 

Actual results 

38% 

2017 
40% 

41% 

2018 
78% 

2019 
82% 

2018 
42% 

2019 
44% 

Target 2020 

85% 

Target 2020 

70% 

Specific Objective 1: To develop and provide global satellite-based radio navigation infrastructures and services (Galileo) by 2020 
Indicator 1: Galileo infrastructure_Cumulative number of operational satellites 

Baseline 
2013 

4 

2014 

3 

2015 
12 

9 

Milestones foreseen 

2016 

2017 

2018 

2019 

Actual results 
18 

2225 

Indicator 2: Galileo infrastructure New terrestrial infrastructure deployed version 

Baseline 

IOV initial configuration in 
June 2011 

2014 

IOV final 
configuration   

2015 
Ground 
Segment 
Version 2.0 

Milestones foreseen 

2016 

2017 

2018 

2019 

System Build 
1.5.0  

System Build 
1.5.0 

System Build 
1.5.1 

GMS Version 
2.1/GCS 2.0 

Actual results 

SB 1.5.0 

SB 1.5.0 

Target 2020 

30 

Target 2020 

System Build 2.0 

Indicator 3: Galileo services provision_Number of services implemented 

Baseline 

Number of services 
implemented 

2014 
N/A 

2015 
N/A 

0 

Milestones foreseen 

2016 
3 
Actual results 
3 

2017 
3 

327 

Expenditure related outputs 

2018 

2019 

Target 2020 

5 services26 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Galileo - services 

Galileo - services 

Outputs 

2014 

2015 

F 
P 

0 

0 

02 05 01 
Number of outputs foreseen (F) and produced (P) 
2017 
3 
3 

2016 
3 
3 

2018 
3 

2019 
3 

2020 
5 

22 The market share indicator is based on the percentage of Galileo and EGNOS receivers in the total number of receiver models worldwide. The baseline for this 
indicator was established in 2014 and the data is included in the 2014 market report of the European GNSS Agency and will be measured annually. The trend of the 
production of Galileo and EGNOS enabled model receivers suggests that receiver manufacturers are gradually integrating Galileo and EGNOS into their products and 
the milestone target for this indicator is likely to be reached 
23 The market share indicator is based on the percentage of Galileo and EGNOS receivers in the total number of receiver models worldwide. The baseline for this 
indicator was established in 2014 and the data is included in the 2014 market report of the European GNSS Agency and will be measured annually. The trend of the 
production of Galileo and EGNOS enabled model receivers suggests that receiver manufacturers are gradually integrating Galileo and EGNOS into their products and 
the milestone target for this indicator is likely to be reached 
24 Total number of receiver models in the GPS survey in 2012: 483 
2522 Galileo satellites were in orbit, 1 is only operational for the SAR service, 1 was put on hold, 4 are still in test, which means 16 satellites were fully operational. 
26 Including contribute, by means of Galileo open service signals and/or in cooperation with other satellite navigation systems, to integrity-monitoring services aimed at 
users of safety-of-life applications in compliance with international standards. 
27Galileo initial services were declared operational on 15 December 2016. These include the Galileo Initial Open Service, the Galileo Initial Public Regulated Service, 
the Galileo Initial Search and Rescue Service. 

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Justification of changes to the financial programming and/or to the performance information 
Thanks to the fruitful industrial competition for the next version of EGNOS, a reduction of the EGNOS budget can be implemented in 
order to reinforce Galileo and notably the ground segment contracts (security aspects). 

Specific Objective 2: To provide satellite-based services*  improving the performance of GPS to gradually cover the whole ECAC 
(European Civil Aviation Conference) region by 2020 (EGNOS) and European neighbouring countries 
Indicator 1: Progress of the EGNOS coverage extension versus agreed coverage extension 

Baseline 

Milestones foreseen 

2016 

2017 

2018 

2019 

Target 2020 

2014 

n/a 

2015 
Establishment of an updated 
EU coverage extension plan 
for EU-28 in December 
2015Establish EGNOS 
Service  
Evolution Plan v2.0 

Report on 
advancements  
in coverage  

Report on 
advancements  
in coverage 

Report on 
advancements  
in coverage 

Report on 
advancements  
in coverage 

Actual results 

Coverage of EU-28 
with EGNOS in 
line with the 
EGNOS Service 
Evolution Plan 

EGNOS Service  
Evolution Plan v2.0 
established in 201528 

98.98% 
coverage of 
EU28-NO-
SW land 
masses for 
APV-I 
*According to the legal base (Regulation (EU) No 1285/2013) the specific objectives of EGNOS cover the following 3 services. Open Service (OS), 
EGNOS Data Access Service (EDAS) and Safety-of-Life Service (SoL). 

98.9% 
coverage of 
EU28-NO-
SW land 
masses for 
APV-I 

EGNOS Service  
Evolution Plan v2.0 was 
established 

Indicator  2: EGNOS  service  availability  index  based  on  the  number  of  airports  with  EGNOS-based  approach  procedures  with  an 
operational status versus the total number of airports with EGNOS - based approach procedures 

Baseline 

2014 

2015 

Milestones foreseen 
2016 
99% 
Actual results 

2017 
99% 

Service availability index: 
100% 

97.72% 

99.9% 

> 99% 

99.9% 

Baseline 

2014 

2015 

Total number of airports 
with EGNOS procedures: 
93 (2013) 

Total number of airports 
with EGNOS procedures 
with an operational status: 
93 (2014) 

Airports with 
EGNOS 
procedures: 132 
Airports with 
operational 
status: 129 

Airports with 
EGNOS 
procedures: 174 
Airports with 
operational 
status: 173 

Milestones foreseen 
2016 
Increase the number 
of airports  
Actual results 
Airports with 
EGNOS procedures: 
230 
Airports with 
operational status: 
230 

2017 
Increase the number 
of airports  

Airports with 
EGNOS procedures: 
251 
Airports with 
operational status: 
251 

2018  2019 

Target 2020 

Maintain the service 
availability index 
constantly at least on 
99% 

2018  2019 

Target 2020 

Increase the number 
of airports with 
EGNOS procedures 

Expenditure related outputs 

EGNOS – services 

Outputs 

Budget line 

02 05 02 

Draft Budget 2019 

Number 

EUR million 

Outputs 

2016 
3 
3 
* Open service (OS); EGNOS Data Access Service (EDAS); Safety-of-life service (SoL) 

EGNOS - services in operation: 

2015 
3 
3 

2014 
3 
3 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
3 
3 

2018 
3 

2019 
3 

2020 
3 

Justification of changes to the financial programming and/or to the performance information 
Thanks to the fruitful industrial competition for the next version of EGNOS, a reduction of the EGNOS budget can be implemented in 
order to reinforce Galileo and notably the ground segment contracts (security aspects). 

28 The Service Evolution Plan (SEP) was agreed between the Commission and GSA and constitutes the baseline for the implementation of the EGNOS mission and 
security requirements. It defines the extension of EGNOS services over the European territory in terms of their availability which is depicted in a form of ‘availability 
maps’. 

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HEADING 1A: Competitiveness for growth and jobs 

International Thermonuclear Experimental Reactor (ITER) 
Lead DG: ENER 

I. Programme Overview 

What the programme is about? 

ITER is a large-scale scientific experiment intended to prove the viability of fusion as an energy source. ITER is currently under 
construction in Saint-Paul-lez-Durance in the south of France.  In an unprecedented international effort, seven partners—China, the 
European Union, India, Japan, Korea, Russia and the United States—have  pooled their financial and scientific resources to take 
fusion energy to the threshold of industrial exploitation. ITER will not produce electricity, but it will resolve critical scientific and 
technical issues and thereby take fusion to the point where industrial applications can be designed. By producing 500 MW of power 
ITER  will  be  the  proof  of  principle  for  magnetically-confined  burning  plasmas  that  will  open  the  way  to  the  next  step:  a 
demonstration fusion power plant. 

EU added value of the programme 

ITER will achieve what no single country can do on its own. The risk, costs, and long-term nature of a large research project such 
as ITER puts it beyond the reach of individual EU Member States and even of the EU as such. Thus, the establishment of a global 
framework through an international agreement between Euratom and six other Parties  was essential to  undertake this  large-scale 
scientific  experiment.  ITER  construction  started  in  2007  and  Euratom  provides  about  45%  of  all  components  through  the  Joint 
Undertaking Fusion for Energy (F4E). 

Europe's support to ITER and to other activities related to ITER such as the Broader Approach activities with Japan contributes to 
the  strategic  agenda  of  the  European  Union  for  clean  and  secure  energy.  In  particular,  it  supports  the  first  objective  of  the 
Commission's political agenda: 'boosting growth, jobs and investment in future high potential technologies' as ITER is stimulating 
the  European  industrial  investment  in  new  advanced  technologies  for  the  components  of  the  facility  and  in  advanced  civil 
engineering for its construction. Over the last ten years, Fusion for Energy has directly awarded almost 1000 contracts and grants 
for a value of approximately EUR 4 billion spread all over Europe.  Some 300 companies including SMEs from about 20 different 
EU  Member  States  and  Switzerland,  as  well  as  some  60  research  organisations,  engaged  in  cutting-edge  Research  and 
Development, technology, design and manufacture work have benefited from this investment in ITER. In the longer term, ITER is 
contributing to the Research & Innovation pillar of the Energy Union. 

Fusion has an enormous potential and net present value as an environmentally acceptable and virtually unlimited source of energy. 
In addition, thanks to its leadership in fusion research and the construction of ITER, Europe will be in a privileged position to reap 
the benefits of constructing and operating the first generation of fusion power plants in the future. 

II. Programme Update 

Implementation status (2014--2017) 

The  programme  covers  the  European  contribution  to  the  ITER  International  Organization  (IO)  for  the  construction  of  the  ITER 
facility,  which  includes  the  procurement  of  equipment,  installation,  general  technical  and  administrative  support  for  the 
construction phase as well as the participation in commissioning and operations. It also covers other ITER related activities, such as 
the  Broader  Approach  activities  with  Japan.  These  contributions  are  channeled  through  F4E,  the  European  Domestic  Agency 
located in Barcelona (Spain). 

The challenges encountered by the project, in particular regarding the schedule and cost estimates but also in terms  of governance 
are largely linked to its inherent first-of-a-kind nature which goes beyond the current technological state-of-the-art, and also to its 
complex governance set-up. In 2015 the ITER Council approved an action plan prepared by the IO to address these challenges. One 
of  the  main  actions  was  the  revision  of  the  long  term  schedule  and  associated  costs,  which  was  successfully  completed  in 
November  2016.  The  updated  schedule  follows  the  so-called  staged  approach  which  focuses  first  on  the  construction  of  the 
components  essential  to  achieving  First  Plasma  in  2025,  followed  by  successive  series  of  installation  and  testing  phases  before 
starting  the  full  performance  phase  (Deuterium-Tritium  operation)  in  2035.  The  European  Commission  has  adopted  on  14  June 
2017 a Communication to inform the European Parliament and the Council of the EU on the new schedule and associated costs. By 
this Communication, the Commission also seeks the support of the European Parliament and a mandate from the Council of the EU 
to  allow  the  Commission  to  approve  ad  referendum  the  new  schedule  and  associated  costs  of  the  project  at  an  ITER  Council 
meeting at ministerial level, likely to take place in 2018. 

The consolidation and improvement of the financial performance of F4E has been confirmed in annual discharge procedures by the 
European  Parliament,  based  on  annual  review  of  the  accounts  by  the  ECA  that  has  consistently  confirmed  the  regularity  and 
conformity of Fusion for Energy's accounts. This achievement is the consequence, at least in part, of the action plan which has been 
implemented  to  improve  the  functioning  of  the  agency.  These  results  confirm  the  capacity  of  F4E  to  deliver  the  Euratom 
contribution to the new project schedule on time and coherent with the staged approach within the current available budget until 
2020 and the cost projections made thereafter.  

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Nevertheless design and manufacturing challenges, affecting in particular the critical path, continue to exist and could have further 
impact  on  the  revised  schedule.  This  is  why,  on  6  July  2017,  the  European  Commission  finalised  a  comprehensive  strategy  to 
improve the supervision and governance of the F4E. The strategy sets out the supervision needs and objectives, as well as the tools, 
working  methods  and  procedures  needed  to  achieve  them,  thus  addressing  the  significant  risk  for  ITER  not  to  be  completed 
according  to  the  plan,  on  budget  and  under  the  technical  specifications  of  the  project's  Baseline.  The  strategy  should  also  avoid 
insufficient effectiveness of the  cost containment  measures deployed by F4E, inappropriate budgetary execution, or procurement 
issues. Based on this strategy an updated administrative agreement with F4E is now under negotiation, to be finalised in the first 
half of 2018. 

Complementary  to  the  supervision  strategy  for  F4E,  the  Commission  has  redesigned  a  comprehensive  supervision  strategy  for 
Euratom's participation in the governance of the IO that will be implemented during 2018. This strategy focuses on improving the 
role  of  the  ITER  Council  in  steering  the  IO  and  also  in  supervising  the  performance  of  the  organisation  (to  stay  on  budget  and 
schedule). In addition, the strategy addresses the need for Euratom to secure its interests in the governance of ITER and the IO. 

As far as the construction is concerned, the bio-shield of the Tokamak building is almost completed. Construction is progressing for 
several other buildings such as the  cryoplant, the  magnet power conversion buildings  and  the cooling towers.  The production of 
conductors for both the Toroidal Field (TF) Coils and the Poloidal Field (PF) Coils was completed. The series production of TF 
coils components  has been launched in 2017. Manufacturing of the  PF coils is progressing well in the  PF Coil Building in Saint 
Paul-Lez-Durance (#PF5), in Saint Petersburg in Russia (#PF1) and in Hefei in China (#PF6).  

The manufacturing of the Vacuum Vessel is progressing as well, with all five sectors now in some stage of fabrication, with sector 
#5—the first due on site according to the ITER machine assembly schedule—leading the way. The pre-qualification for 3 suppliers 
of  the  Inner  Divertor  Target  started.  The  foundations  for  the  cryoplant  building  were  laid  and  the  building  is  now  rising  from 
ground while the subsystems that  will go into the building are ready to be tested and close to delivery. First components for the 
Neutral Beam Test Facility  were delivered. Finally,  there is important progress in diagnostics, in cooperation  with the European 
Fusion Laboratories. 

The physical progress of the project is evident on the ITER site with many buildings under Euratom responsibility being erected. A 
positive appreciation of this progress has been confirmed by the ITER Council in June 2017, recognizing “strong project progress 
in line with the 2016 baseline.” The IO announced in November 2017 that the project reached the completion of 50 percent of the 
total physical work (design, manufacturing construction, assembly, installation) needed for First Plasma. 

Regarding  the  budget  implementation,  F4E  has  implemented  its  2017  budget  as  follows:  commitment  appropriations:  99.9%  of 
which  96.5%  through  individual  commitments;  payment  appropriations:  96.3%.  The  consolidation  and  improvement  of  the 
financial  performance  of  F4E  has  been  confirmed  in  annual  discharge  procedures  by  the  European  Parliament,  based  on  annual 
review of the accounts by the European Court of Auditors that has consistently confirmed the regularity and conformity of F4E's 
accounts. 

Key achievements  

The ITER construction involves over 10 million components being built around the world. About 75 % of the  investment in ITER 
is spent on the  creation of  new  knowledge and cutting-edge  materials and technology, offering European industries and SMEs a 
major  opportunity  to  innovate  and  develop  'spin  off  products  in  sectors  outside  ITER  remit  such  as  the  broader  energy  sector, 
aviation and hi-tech instruments like the nuclear magnetic resonance - scanners. An example of this is the successful fabrication of 
the superconductors and the winding packs in Europe for the ITER Toroidal Field Coils, which have never been manufactured with 
such size before and are therefore a major technological progress. 

A total of 110 out of 137 procurement arrangements have been signed by the ITER Organisation for the different work packages of 
the construction of the ITER reactor. This represents 92.6 % of the project's total in-kind value. This means that a significant part of 
ITER activity is now in the hands of the ITER members who will deliver the ITER components. F4E has now placed most of the 
large  value  contracts  (more  than  EUR  100  million).  As  of  30  September  2017,  F4E  has  signed  601  operational  procurement 
contracts and 322 grants for a total of EUR 3.97 billion (2008 value). 

Evaluations/studies conducted 

The  impact  of  the  financing  of  F4E  in  the  European  economy  in  terms  of  growth,  employment  and  increase  of  industrial 
competitiveness and innovation is the subject of a study on the 'value for money' of F4E that is being carried out. In addition, the 
Commission  will submit to the European Parliament and to the Council of the EU in 2018 a mid-term evaluation of the Council 
Decision  2013/791/Euratom  of  13  December  2013.  This  evaluation,  which  will  set  out  the  results  of  the  use  of  the  Euratom 
contribution to ITER as regards commitments and expenditure, will be based on the above mentioned study. An impact assessment 
of the current funding decision of ITER through F4E based on of this Council Decision will be also prepared before the end of 2018 
in view of the ITER financing under the next Multiannual Financial Framework. 

Forthcoming implementation (2018-2019)  

In 2018, F4E will follow up the on-going contracts which were placed during previous years (with a total value of running 
contracts of about EUR 3.7 Billion (2008 value, forecasted by the end of 2018) and should achieve 42% of the Euratom's 
obligations to be discharged to the IO. The main deliverables expected in 2018 by F4E are the following: 

  Start of series production of precompression rings, first PF coil ready for cold test, TF cold test facility ready  

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  Completion of the machining of forgings and plates of the poloidal segments of Sector 5 of the Vacuum Vessel  
  Fuel Cycle: The Water Detritiation System holding and feeding tanks delivered to Cadarache to be installed in the tritium 

plant building 

  Approval by IO of Commissioning Plans for EU cryoplant components 
  First part of the Low and Medium Voltage Load Centres transferred to IO for use  
  Buildings: First limited access to Tokamak pit. 

In 2019, the main deliverables by F4E in relation to ITER will be the following: 

  Magnets: manufacturing complete of Poloidal Field Coil 6 and delivery to site; first EU Toroidal Field Coil delivery to site 
  Main Vacuum Vessel: production of all 20 segments of the 5 sectors will continue, heading towards completion of five 

poloidal segments for the sectors 5 and 4 

  Blanket System: manufacturing of blanket First Wall (FW) full scale prototypes is planned to be completed. The tendering 

phase for the Series production and the negotiations with the potential manufacturers will be concluded 

  Divertor: Main procurement activities will concern the qualification of alternative tungsten grades and the performance of 
high heat flux testing of full size Plasma Facing Units. Production of the cassette body pre-series should have started 
  Remote Handling (RH): The procurement of the Remote Handling Systems will mainly focus on the continuation of 

preliminary design activities and starting, in some areas, the final design activities 

  Cryoplant & Fuel Cycle: The contract signature and first design activities should take place for the Primary Leak 

Detection and Localization system. The tendering for procurement of torus and cryostat cryopumps will be started with 
expected contract signature by the end of the year.  

  Radio-Frequency (RF) Heating & Current-Drive: The Ion Cyclotron antenna should be in its final design phase. A contract 
will be signed for the manufacturing and testing of RF Window mock-ups and prototype. As for the Electron Cyclotron 
system, the upper launcher should be in its final design phase 

  Neutral Beam Heating and Current Drive: the SPIDER experiments should continue, while the MITICA activities should 

progress with commissioning and testing of vessel and power supplies and with the assembly of the auxiliaries. 
Site, Buildings and Power supply: The focus will be on the completion works of the Tokamak Complex with the civil works being 
completed and the finishing works progressing. Cash contributions to IO will be committed as well as the cash to Japan concerning 
the Japanese PA on NB Power Supplies 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2013/791/Euratom:  Council  Decision  of  13  December  2013  amending  Decision 
2007/198/Euratom  establishing  the  European  Joint  Undertaking  for  ITER  and  the 
Development of Fusion Energy and conferring advantages upon it 

2019 - 2020 

Administrative support 
Joint undertaking 
Total 

2. Implementation rates 

Voted appropriations 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

6,5 
398,1 
404,7 

11,1 
343,6 
354,7 

Total 
Programme 
17,7 
741,7 
759,4 

2017 

2018 

CA 
322,463 

Impl. Rate 
99,97 % 

PA 
388,447 

Impl. Rate 
99,76 % 

CA 
376,361 

Impl. Rate 
99,63 % 

PA 
302,555 

Impl. Rate 
16,54 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

98,25 % 

99,63 % 

16,58 % 

98,19 % 

382,242 

395,569 

329,418 

309,167 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

ITER  activities  contribute  to  the  Europe  2020  headline  targets,  mainly  to  the  Innovation  Union  and  the  Industrial  policy  for  the 
globalisation  era  (e.g.  by  involving  the  European  hi-tech  industry  which  will  gain  new  skills  and  manufacturing  capabilities).  In 

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addition,  ITER  is  contributing  to  the  Research  &  Innovation  pillar  of  the  Energy  Union.  As  far  as  section  3.2.2  is  concerned,  it 
should  be  noted  that  this  budgetary  breakdown  exercise  regarding  the  contribution  to  the  flagship  initiatives  implies  that  each 
amount has to be allocated on the basis of exclusivity. In this context the contribution amount represents a rough estimation and a 
simplistic picture of the reality because many ITER actions will contribute simultaneously to both flagships. 

Being in its construction phase, ITER is already having a very palpable positive impact on growth and jobs in the region where it is 
located  (about  3 000  direct  jobs  have  been  created)  and,  more  generally,  to  the  many  European  industries  and  SMEs  which  are 
involved in the conception and construction of the thousands of first-of-a-kind technological components of this engineering and 
research venture.. All this translates into new knowledge and cutting-edge technology, market oriented research and innovation and 
both high skilled and lower skills jobs, and knowledge all over Europe. 

As regards the impact on employment, F4E estimates that through their contracts, industry is creating over 15 000 person-years of 
employment in Europe and will create many more during the remainder of ITER's construction phase, as ITER work is more labour 
and knowledge intensive than conventional industrial manufacturing due to the high content of R&D and engineering tasks. 

4. Performance information 

General objectives 

General  Objective  1: development  of  fusion  as  a  potentially  limitless,  safe,  sustainable,  environmentally  responsible  and 
economically competitive source of energy 
Indicator 1: Reduction of greenhouse gas emissions at EU level compared to 1990 

Baseline 

18% 

2014 
20% 

23% 

2015 
20% 

22%30 

Milestones foreseen 

2016 
20% 
Actual results 

2017 
20% 

Not available  Not available 

2018 
20% 

2019 
21%29 

Target 2020 

21% 

Specific objectives 

Specific Objective 1: to provide the Euratom contribution to ITER and to the ITER related activities 
Indicator 1: Percentage of Euratom's obligations discharged by the ITER Organization (IO) through the Joint Undertaking F4E 

Baseline 

6% 

2014 
13% 

13% 

2015 
19% 

17% 

Milestones foreseen 

2016 
27% 
Actual results 
24% 

2017 
36% 

31% 

2018 
42% 

2019 
52% 

Target 2020 

63% 

Specific Objective 2: Support to European industry and research through the ITER construction and ITER related activities 
Indicator 2: Percentage of budget committed by F4E in procurement and grants to industry and laboratories 

Baseline 
2013 

0 % 

2014 
22 % 

22 % 

2015 
33 % 

33 % 

Budget committed foreseen 

2016 
47 % 

2017 
64 % 

2018 
79 % 

2019 
81 % 

Actual results 

47 % 

31 % 

Target 2020 

100 % 

Justification of changes to the financial programming and/or to the performance information 

Although progress can be observed on the ITER site in Saint Paul-Lèz-Durance (France) where the ITER device is being built, the 
project faces complex challenges. Many of these challenges are linked to the  ‘beyond-state-of-the-art state’ of  the technology of 
this  ambitious  experimental  project  and  the  complex  international  management  and  governance  structure.  These  challenges  in 
particular in term of schedule delay and cost overruns have materialised, affecting the current schedule adopted in 2010. A revised 
schedule  up  to  First  Plasma  was  therefore  adopted  by  the  ITER  Council  in  November  2016.  The  schedule  is  part  of  the  ITER 
Baseline  which  consist  also  of  the  scope  and  the  cost  of  the  project.  The  full  ITER  Baseline  should  be  adopted  ad  referendum 
during an ITER Council at Ministerial level, likely in 2018. Due to the present schedule delays, the ITER construction will not be 
completed  in  2020  as  originally  planned  in  2010.  Consequently,  the  percentage  of  Euratom's  obligations  discharged  by  the  IO 
through F4E are lower than what was expected within the current schedule. 

5. Programme contribution to the Sustainable Development Goals 

The  ITER  programme  contributes  to  several  Sustainable  Development  Goals.  ITER  and  fusion  energy  research  in  general  will 
contribute  at  a  later  stage  to  a  clean  energy  transition  while  boosting  jobs  and  growth  in  the  area  of  energy  and  climate  under 
Sustainable Development Goal 7 ("Ensure access to affordable, reliable, sustainable and modem energy for all") and Sustainable 

29 https://www.eea.europa.eu/publications/trends-and-projections-in-europe-2015  
30 http://ec.europa.eu/eurostat/statistics-explained/index.php/Greenhouse_gas_emission_statistics_-_emission_inventories  

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Development  Goal  13  ("Take  urgent  action  to  combat  climate  change  and  its  impacts").  Through  the  Sustainable  Development 
Goals, the EU has set ambitious 2030 targets to reduce greenhouse gas emissions, improve energy efficiency and increase the share 
of renewable energy. 

ITER  provides  for  Research  and  Innovation  which  are  both  underpinning  the  implementation  of  virtually  all  Sustainable 
Development Goals and in particular under Sustainable Development Goal 9 ("Build resilient infrastructure, promote inclusive and 
sustainable industrialization and foster innovation"). 

Finally,  ITER  is  also  an  example  of  a  global  partnership  for  Sustainable  Development  Goal  17  ("Strengthen  Means  of 
Implementation and revitalise the global partnership for sustainable development") 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Not applicable 

7. Programme related additional information 

Implementation aspects  

Since its launch, the ITER project has faced many challenges in terms of schedule, risk of cost increase and management. Many of 
these are linked to the inherent nature of the project which goes beyond the current state-of-the-art of fusion technology. Some are a 
consequence  of  the  complex  international  nature  of  the  project  with  seven  international  Partners  (and  seven  Domestic  Agencies 
responsible for procurement). Radical decisions were taken in 2015, in particular at the extraordinary ITER Council of March 2015 
which  gave  a  new  impulse  to  the  project  to  put  it  back  on  track.  One  of  the  important  decisions  was  the  appointment  of  a  new 
Director-General of the ITER Organization and the approval of an action plan for a sound and effective management of ITER. 

As regards the European contribution to the project,  Euratom set up in 2007 the European Joint Undertaking 'Fusion for Energy' 
(F4E) that operated as the European Domestic Procurement Agency in charge of delivering the European in-kind contribution to 
the  ITER  project.  During  the  period  2007-13,  F4E  placed  more  than  230  procurement  contracts  and  100  grants  for  an  overall 
contribution by F4E. 

Through these contracts F4E achieved significant progress in delivering the European contribution to the ITER project, particularly:  

  with  regard  to  the  nuclear  buildings,  the  preparation  of  the  ITER  site  in  Cadarache  (France)  and  the  construction  of  the 
Tokamak building foundations have been concluded, the anti-seismic foundation pads have been installed and the construction 
of the upper reinforced concrete slab was expected to be finalised by mid/end 2014.  

  with regard to the system of magnetic confinement of the Plasma, the manufacturing of the superconductive strands and major 
mock-ups and prototype for sub-components of the Toroidal Field coils have been completed allowing the start of the series 
manufacturing of the Winding Packs and of the radial plates presently on going.  

  more than 50 % of the superconductive strands needed for the Poloidal Field coils have been fabricated and the first contracts 

 

for the fabrication of the coils have been signed.  
regarding  the  fabrication  of  the  vacuum  vessel  sectors,  the  manufacturing  design  and  the  qualification  of  the  fabrication 
processes have been finalised and basic material for one sector has been fabricated. 

  A total of EUR 994 million was spent on ITER during the 2007-13 MFF. 

Contribution to policy achievements 
Europe's support to ITER and to other activities related to ITER such as the Broader Approach activities with Japan contributes to 
the  strategic  agenda  of  the  European  Union  for  clean  and  secure  energy.  In  particular,  it  supports  the  first  objective  of  the  new 
Commission's political agenda: 'boosting growth, jobs and investment in future high potential technologies' as ITER is stimulating 
the  European  industrial  investment  in  new  advanced  technologies  for  the  components  of  the  facility  and  in  advanced  civil 
engineering for its construction. 

Generated EU added value (ex-post) 
Fusion is a potential source of abundant, clean and low carbon source of energy. It can be produced from nearly inexhaustible fuels: 
lithium, a light metal widely available on Earth and deuterium, a form of hydrogen readily obtained from seawater. Therefore, the 
lithium in one laptop computer battery plus 45 litres of water would provide all the electricity needed by one person for about 30 
years! To meet the energy needs of a city of 1 million inhabitants for 1 week, you would either need: 250,000 tonnes of oil, or 20 
times 400 000 tonnes of coal or only 60 Kg of fusion fuel. 

Fusion has an enormous potential and net present value as an environmentally acceptable and virtually unlimited source of energy. 
In addition, thanks to its leadership in fusion research and the construction of ITER, Europe will be in a privileged position to reap 
the benefits of constructing and operating the first generation of fusion power plants in the future. 

Europe is spending more than EUR 1 billion per day in energy imports. The European funding for ITER project is comparable to 
only one week of this energy deficit. ITER is therefore, a key contributing to the strategic agenda of the European Union for clean 
and secure energy. 

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HEADING 1A: Competitiveness for growth and jobs 

European Earth Observation Programme (Copernicus) 
Lead DG: GROW 

I. Programme Overview 

What the programme is about? 

Copernicus is the European system for monitoring the Earth. It is a user-driven programme offering six free-of charge services to 
EU,  national,  and  regional  institutions,  as  well  as  to  the  private  sector:  atmosphere  monitoring,  marine  environment  monitoring, 
land  monitoring,  climate  change,  emergency  management  and  security.  The  programme  builds  on  the  initiative  on  global 
monitoring for environment and security launched in 2001. It aims at filling the gaps in European earth observation capacities. Data 
is provided from space infrastructures, particularly the sentinel missions developed under the programme, and in-situ infrastructure 
supported by the Member States. Copernicus services are mainly operated by European Union agencies. 

The  Copernicus  Services  transform  this  wealth  of  satellite  and  in  situ  data  into  value-added  information  by  processing  and 
analysing  the  data.  Datasets  stretching  back  for  years  and  decades  are  made  comparable  and  searchable,  thus  ensuring  the 
monitoring of changes; patterns are examined and used to create better forecasts, for example, of the ocean and the atmosphere. 
Maps are created from imagery, features and anomalies are identified and statistical information is extracted. 

EU added value of the programme 

Copernicus is a programme under the Europe 2020 strategy for smart, sustainable and inclusive growth. Given its benefits to a wide 
range of EU policies and its potential for reaching the objectives of Europe 2020, Copernicus is included in the industrial policy 
flagships.  The  Commission  identified  five  areas  of  EU  legislation  where  Copernicus  (or  GMES)  is  explicitly  referred  to,  in  the 
fields of maritime policy, civil protection, agriculture and space debris surveillance and tracking. Also, Copernicus delivers useful 
data  and  information  for  EU  policies  for  agriculture,  environment,  development  and  humanitarian  aid,  energy  or  coastal 
surveillance, smart cities, climate change adaptation, border security and many other fields, including the IT sector and education. 

The Copernicus programme cannot be realised by a single Member State alone because it encompasses a pan-European capacity 
and depends on the coordinated provision of data and services throughout all the Member States, which needs to be coordinated at 
Union level. Therefore, by reason of the scale of the action, the programme will be better achieved at Union level, and may adopt 
measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance 
with the principle of proportionality, as set out in that  Article, this  Regulation does  not go beyond  what is  necessary  in order to 
achieve that objective, especially regarding the Commission's role as coordinator of national activities. From an economic point of 
view, action at the EU level also allows economies of scale from which public spending will benefit. 

II. Programme Update 

Implementation status (2014-2017) 

Copernicus has a financial envelope of EUR 4.3 billion for 2014-2020. Implementation is foreseen through delegation agreements 
and direct actions. By end of 2014, two delegation agreements had been signed with the European Space Agency and EUMETSAT 
for the Space infrastructure, and three agreements with the European Environment Agency, the European Medium-Range Weather 
Forecasting  Centre  and  Mercator-Océan  for  the  service  provision.  The  first  Copernicus  satellite,  Sentinel  1A,  was  successfully 
launched on 3 April 2014, and has since been delivering radar images of unprecedented quality to users worldwide. In parallel, the 
Ground Segments for the reception, processing, distribution and archiving of data have been reinforced, so as to handle effectively 
the large amounts of data generated by Copernicus. 

During 2015 the Programme increased its outputs: two Services were fully working (emergency management and land monitoring) 
while the other four made progress (monitoring of atmosphere, climate change, marine environment and security). By the end of 
2015,  with  the  signing  of  delegation  agreements  with  EU  Agencies  FRONTEX  and  EMSA,  all  the  planned  agreements  but  one 
were  signed  (the  agreement  with  the  SATCEN  has  been  rescheduled  for  2016).  On  the  Infrastructure  side,  Sentinel  2-A  was 
launched on 23 June 2015. The early images turned out to be of a quality exceeding expectations.  

During 2016, the remaining Delegation Agreement with the European Satellite Centre SATCEN was signed to support the external 
actions  of  the  EU.  With  this,  all  six  services  were  fully  in  place  and  operational.  On  the  Infrastructure  side,  Sentinel  3-A  and 
Sentinel  1-B  were  successfully  launched  in  February  and  April.  Furthermore,  the  successful  launch  of  the  Jason-3  satellite  by 
EUMETSAT means that also this satellite is now delivering data to Copernicus in an operational context. Only the Climate Change 
service and the Support to External Action service component were in a ramp-up mode, as foreseen in the work programme. The 
construction of Sentinel 2-B and Sentinel 5p were completed. 

During 2017 major progress has been made with the launch of Sentinel 2-B on 6 March, and of Sentinel 5p on 13 October. The 
addition of Sentinel-5p is of particular significance, as it adds the Copernicus own capacity to monitor atmospheric composition, 
especially as regards important polluting gases. This leaves Sentinel-3 B still to be launched by mid-2018, and all efforts are being 
made to ensure that its launch will occur as planned. At the end of 2017, the overall status of implementation is well in line with the 

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planning, with 6 satellites in orbit and in operational mode, and six services all operational. The mid-term evaluation, based on a 
large consultation, has shown a high level of satisfaction by stakeholders and users.  

Key achievements 

The six Sentinels produce now more than 12 Tbyte of high-quality data to users every day. Sentinel 1-A and B are contributing to 
enhanced  maritime  safety  and  security,  monitoring  the  environment  and  climate  change  and  providing  support  in  emergency 
situations. Sentinel-2 A and B are delivering data for monitoring land use, vegetation, soil and water cover, inland waterways and 
coastal areas. Sentinel -3A is providing global data on the state of the ocean. In 2017, further use of the European Data Satellite link 
has  significantly  enhanced  Copernicus's  capability  to  rapidly  deliver  data.  In  parallel,  the  Ground  Segments  for  the  reception, 
processing, distribution and archiving of data were reinforced to facilitate data delivery.  

The  Copernicus  Emergency  Management  Service  (CEMS)  Mapping  component  was  activated  70+  times  in  2017  to  assist  civil 
protection  authorities  in  emergency  response  activities.  Disasters  covered  include  wildfires,  storms  and  floods  in  Europe,  forest 
fires in Spain, Portugal, Greece, hurricane Ophelia in Ireland, windfall in Poland and internationally Hurricanes Harvey and Irma in 
the US and the Caribbean (for which Copernicus was officially thanked by US State Department), as well as earthquakes in Mexico 
and Iraq. Moreover, this service continuously provides early warnings for floods and fires to more than 50 National Focal Points. 

The  Copernicus  Marine  Environment  Monitoring  Service  (CMEMS)  supplies  products  relevant  to  "Blue  Growth"  and  European 
economic  development,  for  example  through  its  contribution  to  marine  renewable  energy  development,  the  sustainable  use  of 
marine  resources  (fisheries,  biodiversity)  and  the  fight  against  pollution.  The  number  of  users  regularly  accessing  the  products 
offered by CMEMS has continued to grow. In 2017, ocean colour and ice products have been updated. A key publication in 2017 
was the Ocean State Report which highlights changes in the marine environment close to real time, a valuable EU milestone and 
important contribution to the Sustainable Development Goals. Nearly 100 use cases of CMEMS are now available online.. 

The  Copernicus  Land  Monitoring  Service  (CLMS)  is  producing  land  monitoring  products  providing  essential  information  for 
policy development,  implementation and  monitoring of  numerous EU bodies. The portfolio of the pan-European and local  land 
component  comprises  products  like  the  Corine  Land  Cover  and  EU-DEM  (Digital  Elevation  Models),  high  resolution  layers  on 
imperviousness, forest, grassland, wetness-water and small woody features, as well as urban areas, riparian zones and Nature 2000 
sites. Also, the CLMS is preparing jointly with the CMEMS for a coastal zone monitoring information product. At global level, the 
service delivers variables covering vegetation, agriculture, energy, cryosphere and water cycles and domains..  

The  Copernicus  Atmosphere  Monitoring  Service  (CAMS)  is  supporting  public  and  commercial  entities  that  inform  European 
citizens about the air quality. CAMS  has released in 2017 the first year of the CAMS global reanalysis (i.e. 2003). In 2017, CAMS 
has documented the plumes from fires in Portugal and Spain, as well as those of Saharan dust transported over Northern Europe by 
Hurricane Ophelia. CAMS European air quality forecasts are presented several times daily in the form of 1-min bulletins covering 
all of European. More detailed forecasts are also made available via the Euronews website. 

The  Copernicus  Climate  Change  Service  (C3S)  is  completing  its  proof-of-concept  phase  transitioning  to  an  operational  phase. 
During  2017,  it  has  become  an  important  climate  information  resource  for  the  World  Meteorological  Organisation,  the  Global 
Climate Observing System and other international bodies, while continuing to grow its user base. At the end of 2017, 175 entities 
from  24  EU  and  ECMWF  Member  States  as  well  as  international  organisations  are  contributing  to  this  European  effort.  This 
service was the first to confirm 2017 as the second hottest year on record. Many sectoral applications are already benefitting from 
the Service, for instance the development of a wind storm catalogue for the insurance industry to help assess the potential damages. 

The  Copernicus  Security  Service  (CSS)  service  is  implemented  through  agreements  with  FRONTEX,  SATCEN  and  EMSA, 
serving  needs  of  users  on  migration  and  border  surveillance,  support  to  EU  policies  outside  Europe  and  maritime  surveillance. 
Civilian  security  is  the  prime  objective  but  the  service  is  also  available  to  defend  users  and  missions.  As  an  exception  to  the 
Copernicus  open  policy  data,  Security  service  products  are  restricted  to  authorised  users  on  a  need-to-know  basis  only.  As  an 
example  for  2017  successes,  the  Service  supported  the  Spanish  Customs  by  spotting  a  vessel  engaged  in  suspicious  behaviour, 
which resulted in Spanish authorities intercepting a major smuggling operation and seizing cargo worth EUR 12 million in total.  

A data and information access service (DIAS) allowed Copernicus data and information to have picked up, creating a vibrant eco-
system  around  the  programme,  including  public  organisations,  researchers,  SMEs  and  start-ups.  The  user  base  has  dramatically 
increased to above 120.000 users and is still growing. Satellites are not the only data source, with Copernicus relying also critically 
on a wide range and number of in-situ data. The Copernicus in situ component established in 2017 an agreement with EUMETNET 
encompassing all six Copernicus services - it is foreseen to have a single interface providing access to meteorological, hydrological, 
and climatological data owned by all EUMETNET members which is recognized as a best practice of efficiency. 

User  uptake  activities  maximising  the  use  of  Copernicus  applications  by  public  and  private  users  have  been  extended.  A 
Framework Partnership Agreement with the Member States (plus Iceland and Norway) has been opened in 2017. The Commission 
has  increased  awareness  about  Copernicus,  notably  by  setting  up  a  Copernicus  support  office  (which  acts  as  a  helpdesk),  two 
networks  of  local  multipliers  (the  Copernicus  Relays  and  Academy)  and  developing  a  communication  campaign  which  includes 
video materials, factsheets, brochures, online tutorials, an online exchange platform and workshops. It has increased predictability 
by defining a clear delineation between the Copernicus services and the downstream sector. It supports young companies through 
the Copernicus Masters, Incubation and Accelerator Programme and via the development of training courses and material.  

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In parallel, the Commission cooperated with international partners to promote the uptake of Copernicus globally. Arrangements on 
Copernicus data access and sharing have already been signed with the United States and Australia. Discussions have started with 
other countries and regions (including Africa, Latin American countries and Asia-Pacific countries). 

Evaluations/studies conducted 

The mid-term evaluation was launched in April 2016 with a specific consultation strategy; Key stakeholders were interviewed: user 
communities,  members  of  the  Copernicus  Committee  and  the  User  Forum,  delegated  bodies,  industry,  regional  and  local 
governments as well as some international institutions, universities and research centres.  

The main conclusions of the Commission report of October 2017 are as follows: 
  Effectiveness: Programme is on track for the achievement of 2020 objectives set by the Copernicus Regulations; however, data 
offering  is  considered  too  fragmented  and  not  user  friendly.  It  is  recommended  to  simplify  the  data  access  and  to  increase 
awareness outside the scientific and technical community. 

  Efficiency:  Budget  is  under  control  and  cost/benefit  balance,  limited  at  this  stage  of  the  programme,  has  a  positive  future 

outlook; Governance is working smoothly with no conflicts. 

  Relevance: Objectives are considered relevant and lined-up with EU political objectives. 
  Coherence: Despite complexity, a satisfactory level of internal and external coherence has been found. 
  EU-Added Value: EU action is considered necessary for the continuation of the programme. 

Another main conclusion is that the awareness of the Copernicus service, products and data offering is very high in specific sectors 
of the scientific and technical community, but also extremely low in other communities. 

•  An enhanced communication effort is expected to increase programme awareness, also at international level 
•  More flexibility in the definition of products portfolio is expected 
•  Very positive impact on European Union’s image on the international stage. 

Forthcoming implementation (2018-2019)  

For 2018, a further Sentinel launch is foreseen. On the data dissemination side, the start of operations of the data and information 
access service will mark improved access to Copernicus, and add processing capabilities in a cloud environment for the users. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation  (EU)  No  377/2014  of  the  European  Parliament  and  of  the  Council  of  3  April  2014 
establishing the Copernicus Programme and repealing Regulation (EU) No 911/2010 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

4 291,5 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

2,5 
360,4 
362,9 

2,5 
553,9 
556,4 

2,6 
583,6 
586,2 

2,6 
604,8 
607,4 

2,6 
627,6 
630,2 

2,9 
874,1 
877,0 

3,0 
642,9 
645,9 

Total 
Programme 
18,7 
4 247,3 
4 266,0 

2017 

2018 

CA 
607,432 

Impl. Rate 
100,00 % 

PA 
636,772 

Impl. Rate 
99,72 % 

CA 
630,191 

Impl. Rate 
93,37 % 

PA 
607,600 

Impl. Rate 
14,10 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

99,59 % 

93,51 % 

16,14 % 

99,92 % 

645,351 

658,098 

624,735 

624,352 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

Copernicus  fosters  the  development  of  a  competitive  European  space  and  services  industry  in  the  Earth  Observation  market, 
thereby contributing significantly to the economic growth and employment targets of Europe 2020. With its focus on monitoring 
the Earth’s environment and specific view towards understanding and charting Climate Change through its Climate Change service, 
and relevant products from the Land/Atmosphere/Marine services pertaining to energy use and energy use impacts, it underpins the 
Europe 2020 targets on Climate Change and Energy. 

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A recent study31 investigated the economic impact of Copernicus with a focus on the downstream market. Initial results show that 
Copernicus is not only a monitoring tool for institutional needs, but can also stimulate economic growth and employment in a range 
of industrial sectors, leading to the creation or maintenance of ca. 20 000 direct jobs in Europe by 2030, if enabling factors are put 
in  place.  With  highly  skilled  jobs  in  this  sector  typically  impacting  employment  in  other  sectors,  the  economic  stimulus  by 
Copernicus could also result in a wider economic effect, with an additional 63 000 indirect jobs secured or created by 2030. Overall 
the impact on employment from Copernicus is estimated at ca.83 000 jobs in Europe by 2030. 

100% (lines 02 06 01; 02 06 02) 

Contribution to mainstreaming of climate action 

Environmental observations and  monitoring are  at the  heart of the Copernicus programme  with a  significant attention to climate 
change. Almost all programme elements contribute partially or even exclusively to the climate change monitoring and prediction. 
For the purpose of estimating the climate-related budget share, the Sentinels 4 and 5 can be exclusively attributed to monitoring the 
atmospheric  composition,  Sentinel  3  and  6  to  50%  to  support  oceanic  modelling.  On  the  service  side,  the  total  Climate  Change 
service, as well as 30% of the land, marine and atmosphere services are attributed to climate activities. 

The  Climate  Change  service  is  under  implementation.  In  November  2014,  the  European  Commission  signed  a  Delegation 
Agreement  with  the  European  Centre  for  Medium-Range  Weather  Forecasts  for  its  implementation.  The  first  stage  of 
implementation  is  the  so  called  "proof  of  concept",  meaning  capacity  building  and  testing  of  the  overall  architecture.  The 
operational  capacity  will  be  reached  in  the  third  year  of  operations.  The  Climate  Change  service  will  provide  access  to  several 
climate indicators (e.g. temperature increase, sea level rise, ice sheet melting, warming up of the ocean) and climate indices (e.g. 
based on records of temperature, precipitation, drought event) for both the climate drivers and the expected climate impacts. 

Relevant objective/output(*) 

Delivering accurate and reliable data and information to Copernicus users 
(Copernicus Climate Change Service) 
Delivering accurate and reliable data and information (satellite imagery, digital or printed maps) to 
Copernicus users (30% of output produced relating to 3 Copernicus services on Land monitoring, 
Atmosphere Monitoring and Marine Environment Monitoring is attributed to Climate Change) 
Output in terms of contribution made by data from Sentinel satellites (estimated around 34% of Sentinel 
related budget) 
Total 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

30,0 

17,1  

150,0 

197,1    

49,7 

20,7 

155,6 

226,0    

2014 
113.5 

2014 – 2017 

2015 
195.8 

2016 
202.8 

2017 
209.6 

2018 estimates 
2018 
197,1  

2019-2020 programming 
2020 
2019 
213.1 
226,0   

Total 
2014-2020 
1,454.3 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

Contribution to financing biodiversity 

Relevant objective/output 

Deliver  accurate  and  reliable  data  and  information  to  Copernicus  users  (The  Copernicus  Land  monitoring 
service  will  provide  information  including  on  the  dynamics  of  monitoring  of  biodiversity:  operational 
continuity of Land Monitoring service is to be achieved by 2015 (30% of output produced attributed)) 
Output  in  terms  of  contribution  made  by  data  from  Sentinel  satellites  (estimated  around  21%  of  Sentinel 
related budget) 
Total 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

9.3 

92.7 

102.0 

8.4 

96.1 

104.5 

2014 – 2017 

2014 
64.5 

2015 
97.3 

2016 
98.9 

2017 
107.8 

2018 estimates 
2018 
102.0 

2019-2020 programming 
2020 
2019 
102.5 
104.5 

Total 
2014-2020 
728.9 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

The  Copernicus  land  monitoring  service  is  operational  since  2012. The  global  component  of  this  service  produces  data  across  a 
range of biophysical variables at a global scale on the state of vegetation (e.g. vegetation condition index), the energy budget (e.g. 
land surface temperature, top of canopy reflectance) and the water cycle (e.g. soil water index). The Pan-European component will 
produce 5 high resolution data sets on artificial surfaces (e.g. roads and paved areas), forest areas, agricultural areas (grasslands), 
wetlands,  and  small  water  bodies.  The  local  component  focuses  on  "hotspots"  which  are  prone  to  environmental  challenges.  It 
provides detailed land cover and land used information (over major European cities, i.e. the Urban Atlas). 

31 http://copernicus.eu/sites/default/files/library/GMES_GIO_LOT3_PublishableExecutiveSummary_final.pdf 

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4. Performance information 

General objectives 

General Objective 1: Monitoring the Earth to support the protection of the environment and the efforts of civil protection and civil 
security 
Indicator 1: Number of specific service components corresponding to users’ service-level requirements to realise that Copernicus 
data and Copernicus information is made available for the environment, civil protection and civil security 

Baseline 
2013 

Service components* put 
into operations during year 

Total number of 
Operational service 
component = 6 

2014 
0 

2015 
6 

2 
0 

2 

2 
6 

4 

Milestones foreseen 

2016 
5 
Actual results 
6 
11 
Actual results 
10 

2017 
2 

3 
13 

13 

2018 
0 

2019 
1 

13 

14 

Target 2020 

0 

14 

* Services operational at end of 2017 are Emergency Mapping, Early Warning System of Floods, Early Warning System of Forest Fires, Pan-EU land service, EU 
local  Land  service,  Global  land  service  including  Global  hot  spot  service,  Atmosphere  and  Marine    services,  the  three  security  service  components  (border 
surveillance,  maritime  surveillance,  support  to  external  action)  and  provision  of  access  to  reference  data  access  =  13  components  responding  to  Copernicus 
Regulation Art 5(1e) and Art 5(1c). The Climate Change Service will be fully operational in 2019.  
General  Objective  2: Maximising  socio-economic  benefits,  thus  supporting  of  the  Europe  2020  strategy  and  its  objectives  of 
smart, sustainable and inclusive growth by promoting the use of Earth observation in applications and services 
Indicator 1: Expected growth in downstream Earth Observation sector directly benefiting from Copernicus 

Baseline 
2012 

Employment*  
Index= 100 

Milestones foreseen 

2014 

2015 

2016 

Actual results 

2017 
140 

160 

2018 

2019 

Target 2020 

18032 

* The growth of downstream EO sector is measured in terms of employment figures on the sector, with baseline as measured in 2012. 
General  Objective  3: Fostering  the  development  of  a  competitive  European  space  and  services  industry  and  maximising 
opportunities for European enterprises to develop and provide innovative Earth observation systems and services 
Indicator 1: Market penetration, including expansion of the existing markets and creation of new markets and competitiveness of 
the European downstream operators 

Baseline 
2013 

Index=100 

Milestones foreseen 

2014 

2015 
105 

2016 

No actual data 

16033 

Actual results 

2017 
116 

165 

2018 

2019 
128 

Target 2020 

140 

General Objective 4: Ensuring autonomous access to  environmental  knowledge and key technologies for Earth observation and 
geoinformation services, thereby enabling Europe with independent decision-making and action 
Indicator  1: Number  of  directives  and  decisions  directly  invoking  the  use  of  Copernicus  data  and  Copernicus  information  by 
Union institutions and bodies for autonomous decision-making 

Baseline 
2013 

5 

2014 

2015 

2016 

2017 
15 

2018 

2019 

Milestones foreseen 

Data n.a. 

Actual results 
734 

8 

Target 2020 

30 

32  The  downstream  Earth-observation  sector  includes  all  enterprises  whose  main  business  is  to  provide  services  based  on  Earth-observation  data  (not  only 
Copernicus).  Downstream  companies  have  been  surveyed  in 2016  for  eight  major  economic  sectors:  Agriculture,  Forestry,  Urban  Monitoring,  Insurance,  Ocean 
monitoring, Oil&Gas, Renewable energies, Air quality. The multiplier thanks to Copernicus support is in direct proportion to the overall health of the sector and of 
the general economic trend. However regardless of the economic trend, taken as an index, the number of jobs supported is multiplied ten times over five years (see 
table below), so the target index of 1,8 is overachieved by 2016. 

Conservative/Stagnant economy 

Growing economy 

2015 
232 

1374 

2016 
340 

1613 

2017 
443 

1909 

2018 
553 

2184 

2019 
673 

2511 

2020  Cumulated 

807 

3048 

  Cumulated 

2865 

12456 

33 Copernicus has penetrated eight market sectors: agriculture, forestry, urban monitoring, insurance, ocean monitoring, oil & gas, renewable energies, air quality 
management (http://www.copernicus.eu/sites/default/files/library/Copernicus_Market_Report_11_2016.pdf) 
34  

CELEX number 

Publication Reference 

CELEX number 

Publication Reference 

32014D0261 
32013D1313 
32013D1386 
32017Y0322 

OJ L 136, 09/05/2014, p. 35 
OJ L 347, 20/12/2013, p. 924 
OJ L 354, 28/12/2013, p. 171 
OJ C 89, 22/03/2017, p. 1 

32016Y1001 
32013R0100 
32011R1255 
32006R1974 

OJ C 363, 01/10/2016, p. 1 
OJ L 81, 21/03/2012, p. 7 
OJ L 321, 5.12.2011, p. 1 
OJ L 368, 23.12.2006, p. 15 

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General Objective 5: Supporting and contributing to European policies and fostering global initiatives, such as GEOSS 
Indicator  1: Percentage  of  Copernicus  global  Earth  Observation  data  available  through  Global  Earth  Observation  System  of 
Systems (GEOSS) 

Baseline 
2013 

0 %35 

Milestones foreseen 

2014 
~10 % for 2014 

2015 

2016 
40 % 

2017 

2018 
75 % 

* 

Actual results 
* 

40% 

2019 

Target 2020 

100 % 

* All Level 1 and Level 2 data generated from the Sentinels is automatically linked to GEOSS. In terms of volume this represents more than half 
of the data. On top of this Copernicus services generate not data but information/products which can also be visualized via GEOSS. The target of 
100% is imperfect since some products from the Security Service are classified. 

Specific objectives 

Specific  Objective  1: Delivering  accurate  and  reliable  data  and  information  to  Copernicus  users,  supplied  on  a  long  term  and 
sustainable basis enabling the services referred to in Article 4(1) and responding to the requirements of Copernicus Core Users 
Indicator 1: Number of engaged users showing sustained uptake through registered data download 

Baseline 
2013 

1* 

Milestones foreseen 

2014 

2015 

2016 

Actual results 

2017 
1.5 

13.8 

2018 

2019 

Target 2020 

2 

*This figure does not refer to an absolute value: 1.5 milestones by 2017 means a 50% increase from the baseline, the target 2 means a doubling of engaged users  
Indicator 2: Progression in number of satisfied users * expressed by the percentage of returning and engaged users 

Baseline 
2013 

0 % 

2014 

2015 
20 % 

* 

Milestones foreseen 

2016 

2017 
40 % 

Actual results 

80% 

2018 

2019 

Target 2020 

65 % 

*  Users'  satisfaction  is  expressed  as  percentage  of  Copernicus  users  which  integrate  the  service  products  regularly  into  their  workflows.  A 
consolidated analysis of user behaviour and statistics is still ongoing. Raw figures show a steady increase of both access traffic and regular users 
downloading, e.g. Atmosphere Monitoring Service has seen a tripling traffic over the last year, the Marine Environment Service has about 8600 
users in 120 countries, (which is a 50% increase over last year) with about 66% being active users and a 100% increase of downloads over last 
year. For Sentinel data, the number of active users downloading products on a regular basis increased by about 40% in the last 3 months of 2016 
(in total about 57000 registered users). 

Specific Objective 2: Providing sustainable and reliable access to spaceborne data and information from an autonomous European 
Earth observation capacity 
Indicator 1: The accomplishment of the space infrastructure in terms of satellites deployed and data it produces for integration into 
geo-information services 
Baseline 
2013 

Milestones foreseen 

Target 2020 

Total EU autonomous 
satellite capacity 

 Expenditure related outputs 

2014 
1 

2015 
2 

1 

2 

Outputs(*) 

Sentinel 1A, 2A, 3A, 1B, 2B, 3B, 5P operating 
Sentinel construction of next series 1C&D, 2C&D, 3C&D, 5B&C, 6B 
Total 

2017 
7 

2016 
6 
Actual results 
4 

2018 
7 

2019 
7 

6 

Budget line 

02 06 02 
02 06 02 

8 

Draft Budget 2019 

Number 

EUR million 

7 
9 

Outputs 

Construction, launch  and operation of satellites 

2014 
1 
1 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
3 

2016 
3 
2 

2018 

1 

2015 
2 
1 

2019 

(*)The Copernicus satellites called Sentinels are currently being developed for the specific needs of the Copernicus programme.  
Sentinel-1 provides all-weather, day and night radar imagery for land and ocean services. The first satellite (Sentinel-1A) was launched on 3 April 
2014. The second one (Sentinel-1B) was launched in April 2016.   

35  The  data  for  this indicator  is  from  the  yearly  report  provided  by  the  European  Environment  Agency  (EEA),  the  European Centre  for  Medium-range  Weather 
Forecasts (ECMWF), Mercator Ocean, Frontex and the European Maritime Safety Agency (EMSA). This data is also the basis for the yearly implementation plan, 
which is line with the milestone and 2020 target, and considered realistic. DG GROW already estimates the percentage of Copernicus data available through GEOSS 
at 15% in early 2015, due to the data already produced by the EEA and the MACC project on atmosphere monitoring. 

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198,718 
259,962 
457,680 

2020 
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Sentinel-2 provides high-resolution optical imagery  for land services. It  will provide for example,  imagery of  vegetation, soil and water cover, 
inland  waterways  and  coastal  areas.  Sentinel-2  also delivers  information  for  emergency  services.  The  first  Sentinel-2  satellite  was  launched  in 
June 2015 and the second unit was launched in March 2017.   
Sentinel-3  provides  high-accuracy  optical,  radar  and  altimetry  data  for  marine  and  land  services.  It  measures  variables  such  as  sea-surface 
topography, sea- and land-surface temperature, ocean colour and land colour with high-end accuracy and reliability. The first Sentinel-3 satellite 
was launched in February 2016, the second unit is planned for launch in April 2018.   
Sentinel-5 Precursor is a satellite mission launched in October 2017 and it will contribute to reduce data gaps between Envisat and Sentinel-5. The 
other Sentinels no. 4 and 6 will be deployed after 2019. 

Specific  Objective  3: Providing  a  sustainable  and  reliable  access  to  in-situ  data,  relying,  in  particular,  on  existing  capacities 
operated at European and national levels, and on global observation systems and networks 
Indicator 1: Sustained availability of in-situ data for supporting Copernicus services 

Baseline 

Number of 
Services receiving in-situ 
data 

2014 
2 

2 

2015 
4 

4 

Milestones foreseen 

2016 
6 
Actual results 
6 

2017 
6 

6 

2018 
6 

2019 
6 

Target 2020 

6 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Products supplied operationally in response to user requirements in service component 
“Emergency Mapping Service”, “European Flood Alert system”, “Pan-European Land Cover”, 
“EU local land”, “Global land”, ”Access to reference data”, and in services "Atmosphere 
Monitoring" and "Marine Environment Monitoring" services 
Cross-cutting support activities and ramp-up phase of additional service components 
Total 
The  numbers  refer  to  the  number  of  service  components  which  produce  operational  geo-information  products,  or  are  receiving 
cross-cutting  support  activities.  Service  components  are  defined  in  the  Copernicus  Work  Programme  and  multi-annual 
implementation plan, and are listed above under section 3.3. 

02 06 01 

02 06 01 

N/A 

1.4 

1 

8 

5. Programme contribution to the Sustainable Development Goals 

Copernicus is contributing to  Goal 17 "Strengthen Means of Implementation and revitalise the global partnership for sustainable 
development". The EU is promoting the use of Earth observation to supplement statistical analysis in the assessment of indicators 
towards  the  attainment  of  the  sustainable  development  goals.  Earth  observation  and  geospatial  information  provide  reliable, 
unbiased  and  disaggregated  data.  The  EU  is  a  major  player  in  Earth  Observation,  particularly  being  a  co-chair  of  the  Group  on 
Earth Observations (GEO) and managing the European Earth Observation programme Copernicus. 

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HEADING 1A: Competitiveness for growth and jobs 

European Fund for Strategic Investments (EFSI) 
Lead DG: ECFIN 

I. Programme Overview 

What the programme is about? 

The  European  Fund  for  Strategic  Investments  (EFSI)  is  one  of  the  three  pillars  of  the  Investment  Plan  for  Europe  that  aims  to 
revive investment in strategic projects around the continent to ensure that money reaches the real economy. The Investment Plan 
for Europe also includes the EIAH (European Investment Advisory Hub) and the EIPP (European Investment Project Portal). EIAH 
offers  a  single  access  point  to  a  360  degree  offer  of  advisory  and  technical  assistance  services  to  identify,  prepare  and  develop 
investment  projects  across  the  European  Union.  The  EIPP  is  designed  as  a  bridge  between  EU  project  promoters  and  investors 
worldwide.  

With EFSI support, the EIB Group is providing funding for economically viable projects, especially for projects with a higher risk 
profile than those usually financed by the EIB. The focus is on sectors of key importance for the European economy, including:  

• Strategic infrastructure including digital, transport and energy; 
• Education, research, development and innovation; 
• Renewable energy and resource efficiency; 
• Support for small and mid-sized businesses. 

EU added value of the programme 

Since the global economic and financial crisis, the EU has been suffering from low levels of investment. Collective and coordinated 
efforts  at  European  level  are  needed  to  reverse  this  downward  trend  and  put  Europe  on  the  path  of  economic  recovery.  The 
Investment  Plan  for  Europe,  the  flagship  initiative  of  the  Juncker  Commission,  focuses  on  removing  obstacles  to  investment, 
providing visibility and technical assistance to investment projects and making smarter use of new and existing financial resources. 
The  European  Fund  for  Strategic  Investments,  the  driver  of  the  Investment  Plan,  aims  to  overcome  current  market  failures  by 
addressing market gaps and mobilising private investment. Action at the Union level allows for economies of scale in the use of the 
Union budget funds in combination with the EIB Group financing by catalysing private investment across the Union and making 
best use of the European institutions and their expertise and knowledge for that purpose. The multiplying effect and the impact on 
the ground  will thus be  much higher than could be achieved by an investment offensive in a single Member State or a group of 
Member States. The fact that there is no country-specific or sectorial project allocation, will provide for greater attractiveness for 
investors  and  lower  aggregated  risks.  The  investments  supported  under  the  EFSI  should  contribute  to  achieving  existing  Union 
programmes and policies and the targets and objectives of the  Europe  2020 strategy for smart,  sustainable and inclusive growth, 
quality job creation and economic, social and territorial cohesion.  

II. Programme Update 

Implementation Status (2014-2017) 

The legal basis: Regulation (EU) 2015/1017 of the European Parliament and of the Council of 25 June 2015 on the European Fund 
for  Strategic  Investments,  the  European  Investment  Advisory  Hub  (EIAH)  and  the  European  Investment  Project Portal  (EIPP)  – 
The European Fund for Strategic Investments (EU L 169, 1.7.205, p. 1) was adopted on 25 June 2015. The Commission and the 
EIB signed the EFSI and EIAH Agreements with the EIB on 22 July 2015. Moreover, the Commission Implementing Decision for 
EIPP was adopted on the same date.  

On 30 December 2017, the Regulation to extend and enhance the European Fund for Strategic Investments (EFSI 2.0) entered in 
force  -  Regulation (EU) 2017/2396 of the European Parliament and of the  Council of 13 December 2017 amending  Regulations 
(EU) No 1316/2013 and (EU) 2015/1017 as regards the extension of the duration of the European Fund for Strategic Investments as 
well as the introduction of technical enhancements for that Fund and the European Investment Advisory Hub. The ESFI governing 
bodies (Steering Board and Investment Committee) are in place.  

The European Commission issued a report on the state of play of the Investment Plan for Europe in July 2017 (report available at: 
https://ec.europa.eu/commission/sites/beta-political/files/brochure-investment-plan-17x17-july17_en.pdf).  

Key achievements  

A significant number of EFSI projects have already been approved until end of 2017 by the EIB Group for a total investment value 
of about EUR 256.3 billion:  EUR 166.7 billion for Infrastructure and Innovation investments and EUR 89.6 billion in favour of 
SMEs.  

The  EIAH  team  received  a  total  of  641  requests  as  of  end-2017  of  which  500  were  project-related,  59  requests  are  currently 
allocated to receive more detailed technical assistance. 

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The EIPP was officially launched in June 2016. As of end-2017 there were 238 projects published on the Portal emanating from 27 
Member States. 

Evaluations / Studies conducted 

Following  the  different  evaluations  carried  out  in  2016,  no  additional  evaluation  took  place  in  2017.  In  2018,  two  additional 
evaluations are being prepared: an independent external evaluation contracted by the Commission and an EIB evaluation.  

Forthcoming implementation (2018-2019)  

The so-called "EFSI 2.0" extended the lifetime of the Fund from mid-2018 to end 2020 and increased its investment target from 
€315 billion to at least half a trillion euros. The amended Regulation envisages an enhanced focus on climate action, a more 
balanced geographical coverage and transparency: 

Under the new EFSI, the Investment Committee will publish their decisions online, showing the reasons why they chose a project 
to receive support from the EU budget guarantee. The scoreboard of indicators will be published after the signature of each EFSI 
project.  The  new  Regulation  also  gives  a  more  detailed  definition  of  what  makes  a  project  eligible  for  EFSI  support,  so-called 
"additionality". 

At  least  40%  of  EFSI  infrastructure  and  innovation  projects  will  aim  to  contribute  to  climate  action  in  line  with  the  Paris 
Agreement. EFSI 2.0 also explicitly targets new sectors: sustainable agriculture, forestry, fisheries and aquaculture. 

Given the success of the EFSI in supporting small companies, the extended EFSI will increase the proportion of the guarantee for 
SMEs  from  26%  to  40%.  The  new  EFSI  also  encourages  the  EIB  Group  to  help  national  promotional  banks  set  up  investment 
platforms to bundle several small-sized projects by theme or by region in order to attract investors. 

In EFSI 2.0, the work of the EIAH will be enhanced by providing more tailor-made assistance on the ground and working in close 
cooperation with national promotional banks. For the upcoming EIAH implementation, annual specific grants agreements (SGAs) 
are concluded between the Commission and the EIB. The Commission should have finalised the work programme underlying the 
2018 SGA by mid 2018. 

EIPP  is  being  further  developed  to  facilitate  online  project  submissions.  In  addition,  further  communication  efforts  are  being 
undertaken  to  raise  awareness  of  both  promoters  and  investors.    The  EIPP  objective  for  2018  is  to  continue  the  communication 
efforts and IT developments to increase the supply of investment opportunities by further enhancing the visibility of EIPP among 
its stakeholders and by creating unique project matchmaking experience through a user-friendly Portal. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation  (EU)  2015/1017  of  the  European  Parliament  and  of  the  Council  of  25  June  2015  on  the 
European  Fund  for  Strategic  Investments,  the  European  Investment  Advisory  Hub  and  the  European 
Investment Project Portal and amending Regulations (EU) No 1291/2013 and (EU) No 1316/2013  — 
the European Fund for Strategic Investments 

2015 - 2020 

Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

1 360,5 
1 360,5 

2 128,9 
2 128,9 

2 661,1 
2 661,1 

2 038,3 
2 038,3 

186,9 
186,9 

172,9 
172,9 

Total 
Programme 
8 548,5 
8 548,5 

2017 

2018 

CA 
2 661,084 

Impl. Rate 
100,00 % 

PA 
2 467,244 

Impl. Rate 
100,00 % 

CA 
2 038,277 

Impl. Rate 
98,63 % 

PA 
1 828,000 

Impl. Rate 
21,89 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations  originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

2 074,713 

2 506,447 

2 700,294 

1 864,436 

100,00 % 

100,00 % 

98,65 % 

23,42 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

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The additional investments mobilised under EFSI should help support job creation/employment and demand and therefore boosting 
economic growth and would lead to an increase in the EU long-term growth potential. The 'new' EFSI should also support projects 
in  accordance  with  the  Union's  energy,  climate  and  efficiency  targets  laid  down  in  the  Europe  2020  strategy  and  in  the  2030 
Framework for climate and energy policies and which aim to meet the objectives of the Europe 2020 strategy for smart, sustainable 
and inclusive growth. The legal basis does not foresee any specific budget or targets for reaching the objectives of the Europe 2020 
strategy. There are no sectoral or country specific quotas or pre-allocations in the Regulation. 

Contribution to mainstreaming of climate action 
In  EFSI  2.0,  at  least  40  %  of  EFSI  financing  under  the  Infrastructure  and  Innovation  Window  should  support  projects  with 
components  that  contribute  to  climate  action,  in  line  with  the  COP21  commitments.  Specific  data  on  approved  EIB  investments 
under EFSI supporting climate action are not yet available.  

4. Performance information 

General objectives 

General Objective: Supporting growth-enhancing investments in line with Union priorities, especially in the areas of:  
(a) research, development and innovation; 
(b) development of the energy sector in accordance with the Energy Union priorities; 
(c) development of transport infrastructures, and equipment and innovative technologies for transport; 
(d) financial support through the EIF and the EIB to entities having up to 3 000 employees, with a particular focus on SMEs and 
small mid-cap companies;  
(e) development and deployment of information and communication technologies;  
(f) environment and resource efficiency; 
(g) human capital, culture and health; 
(h) sustainable agriculture, forestry, fishery, aquaculture and other elements of the wider bioeconomy; 
(i) for less-developed regions and transition regions,other industry and services eligible for EIB support.  

Indicator 1: The cumulative volume of investment mobilised (EUR billion) 

Estimated  volume of funding raised 
(EUR billion, approved operations) 

Milestones foreseen 

2015 

2016 
125 

2017 
245 

2018 
340** 

2019 
420 

60* 

164.1 

256.3 

Actual results 

*Source: the EIB report to Parliament from July 2016. 
** The EFSI 1.0 target is to mobilise by July 2018 at least EUR 315 billion of additional investment.  
*** The EFSI 2.0 target is to mobilise at least EUR 500 billion of additional investment by 2020. 

Indicator 2: The number of projects to receive support under the EFSI initiative36 

Number of approved projects (cumulative 
figures)  

*Source: the EIB report to Parliament from July 2016. 

Indicator 3: The aggregated multiplier37 effect  

2015 

172* 

2015 

Milestones foreseen 

2017 
600 

2018 
750 

2019 
900 

Actual results 

717 

2016 
400 

420 

Milestones foreseen 

2016 
15 

2017 
15 

2018 
15 

2019 
15 

Multiplier effect 

13.3 

15.18 

13.53 

Actual results 

Target 
2020 

500*** 

Target 
2020 

1000 

Target 
2020 

15 

The expected effective EFSI multiplier that can only be calculated at the end of the EFSI investment period, is around 15 in terms of the use of the 
EU guarantee compared to the total investment raised for the projects supported under the initiative and the terms of the transactions. As at end-of 
2017, the IIW multiplier related to operations approved was estimated at 12.74x and the multiplier related to SMEW approved operations was 
assessed at 15.20x. 

Specific objectives 

36 IIW and SMEW 
37 This means that a multiplier effect should be generated by means of the provision of an EU guarantee to the EIB, so that EUR 1 of the EU guarantee under this 
initiative could generate approximately EUR 15 invested in projects. 

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Specific Objective 1: Increasing the volume of European Investment Bank financing and investment operations in priority areas 
Indicator 1: The cumulative number of countries having received EIB financing (signed operations) under EFSI 

Number of countries covered 

2015 

15 

2016 
20 

25 

Milestones foreseen 

2017 
26 

2018 
28 

2019 
28 

Actual results 

27 

Target 
2020 

28 

As per the EFSI Strategic Orientation, the EFSI should aim to cover all 28 EU Member States at the end of the investment period. 
Indicator 2: The cumulative volume of investment mobilised by the EIB 

Volume of cumulative investment  
(EUR billion, approved operations) 

2015 

Milestones foreseen 

2016 
80 

2017 
175 

2018 
232.5 

Actual results 

21.2 

94.46 

166.7 

2019 

Target 
2020 

Indicator 3: The number of projects to receive support under the EFSI– Innovation and Infrastructure Window 

Number of approved projects (cumulative 
figures)  

Source: EIB report to the Parliament 

2015 

42* 

Milestones foreseen 

2017 
275 

2018 
350 

Actual results 

362 

2016 
175 

176 

2019 

Target 
2020 

Specific Objective 2: Increasing the volume of European Investment Fund (EIF) financing for small and medium enterprises 
Indicator 1: The cumulative number of countries having received EIF financing (signed operations) under EFSI 

Number of countries covered 

2015 

18 

2016 
20 

28 

Milestones foreseen 

2017 
26 

2018 
28* 

2019 
28 

Actual results 

28 

Target 
2020 

28 

*As per EFSI Strategic Orientation 
Indicator 2: The cumulative volume of funding raised for supported projects 

Volume of cumulative investment  
(EUR billion, approved operations) 

2015 

37 

Milestones foreseen 

2017 
70 

2018 
82.5 

Actual results 

89.46 

2016 
45 

69.5 

Indicator 3: The number of projects to receive support under the EFSI – SME Window 

2015 

130* 

Milestones foreseen 

2016 
225 

245 

2017 
325 

Actual results 

355 

2018 
400 

Number of approved projects (cumulative 
figures)  

Source: the EIB report to Parliament of July 2016 

Expenditure related outputs 

Outputs 

EFSI Guarantee Fund 
Fees due to the EIF for increased assistance under the EFSI 

Budget line 

01 04 05 
01 04 07 

Draft Budget 2019 
EUR million 
166,879 

2019 

Target 
2020 

2019 

Target 
2020 

Specific Objective 3: To provide advisory support for investment project identification, preparation and development to public and 
private counterparts, not necessarily linked to EFSI operations through the European Investment Advisory Hub (EIAH ) 
Indicator 1: The number of project for which the support have been requested 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Indicator 2: The number of project that have received the support 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 

Actual results 

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Specific Objective 4: To create an publicly available web portal where EU based projects promoters will be given the opportunity 
to boost the visibility of their projects to potential international investors 
Indicator 1: The number of project published on the EIPP 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Indicator 2: Number of countries covered (cumulative) 

Baseline 

Actual results 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

Target 2020 

Target 2020 

5. Programme contribution to the Sustainable Development Goals 

The quantitative goal (40%) on targeted climate change projects such as energy efficiency and clean transport under the IIW are set 
out  in  the  EFSI  2.0  and  strongly  contribute  to  combatting  climate  change  and  its  impact,  and  access  to  affordable,  reliable  and 
sustainable  energy.  In  addition,  dedicated  efforts  are  made  to  ensure  uptake  of  broader  sustainable  growth  projects  beyond  the 
climate target, and to place a stronger focus on sustainable investments across sectors.  

Targeted EFSI investments could and are already supporting projects and companies in a number of highly relevant areas and thus 
support progress towards many SDGs. EFSI's support for social entrepreneurship and social infrastructure contributes strongly to 
health  and  wellbeing  and  inclusive  and  quality  education;  and  together  with  EFSI  investment  support  for  empowerment  and 
economic  advancement  through  micro-entrepreneurship,  can  further  contribute  to  combatting  poverty,  reduced  inequality  and 
promoting peaceful and inclusive societies for sustainable development. Further investment support to inclusive business practices 
and SME growth and development could also contribute to promoting sustainable production and consumption practices.   

EFSI's dedicated investments in economic and social infrastructure projects supports advancement towards promoting resilient and 
inclusive infrastructure, and further efforts  to support service-rich integrated infrastructure projects  would contribute to inclusive 
and  sustainable  cities.  Jointly,  these  EFSI  investments  can  support  meaningful  advancements  towards  promoting  sustained, 
inclusive and sustainable economic growth, and full and productive employment and decent work for all. 

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HEADING 1A: Competitiveness for growth and jobs 

Nuclear decommissioning assistance programmes in Bulgaria and Slovakia 
Lead DG: ENER 

I. Programme Overview 

What the programme is about? 

When  Bulgaria  and  Slovakia  were  candidate  countries  to  join  the  European  Union  (EU),  the  closure  and  subsequent 
decommissioning of six Soviet-designed, first generation nuclear reactors at two nuclear power plant sites was made a condition for 
their  accession.  As  part  of  the  agreements  the  Union  declared  its  willingness  to  provide  financial  aid  and  the  Nuclear 
Decommissioning  Assistance  Programmes  were  established  to  assist  the  Member  States  concerned  in  implementing  the 
decommissioning of Kozloduy units 1 to 4 and Bohunice  V1 units 1 and 2 in accordance with their respective decommissioning 
plans, whilst maintaining the highest level of safety. 

EU added value of the programme 

Being confronted to early closure of their plants, it was not possible for Bulgaria and Slovakia to accumulate sufficient funds from 
operation of the plants. 

It is therefore in the interests of the Union to provide financial support until 2020 for the seamless continuation of decommissioning 
in order to reach the end state within the decommissioning process of the concerned nuclear reactor units, in accordance with their 
respective decommissioning plans, while keeping the highest level of safety. This will contribute to provide substantial and durable 
support for the health of workers and the general public, preventing environmental degradation and providing for real progress in 
nuclear safety and security. 

II. Programme Update 

Status of programme implementation (2014-2017) 

In June 2017, the Commission presented to the European Parliament and the Council the third report on the implementation of the 
nuclear  decommissioning  assistance  programme  to  Bulgaria,  Lithuania  and  Slovakia.  It  also  adopted  the  2017  annual  work 
programmes and associated financing decisions, allocating EUR 74 million for the implementation of the actions in Bulgaria and 
Slovakia. These funds sum up to EUR 287.4 million allocated from 2014 to 2017. 

Key programme achievements to date (examples of programme success stories / generated EU value added) 

Kozloduy programme (BG) 
  Dismantling  &  Decontamination  works  in  the  turbine  halls  and  auxiliary  buildings  have  progressed  well  and  will  likely  be 

completed before 2020.  

  A state-of-the-art waste volume reduction facility has been installed; it will provide very high performance in radioactive waste 

treatment as compared to other similar facilities in the EU. 

  The project to dismantle the reactor's cores is in a preparatory phase and should commence before 2020. The end date of the 

decommissioning programme is confirmed to be 2030. 

Bohunice programme (SK) 
  The  Bohunice  programme  has  progressed  substantially  and  has  reached  a  high  level  of  maturity:  the  budget  estimate  at 

completion is slightly decreasing and supported by a state-of-the-art plan for risks and contingencies. 

  Dismantling  &  Decontamination  works  in  the  turbine  halls  and  auxiliary  buildings  are  winding  down,  with  the  last  task 

 

(dismantling of cooling towers) well underway and to be completed in 2018.  
Important  Dismantling  &  Decontamination  works  have  also  been  performed  in  the  reactor-building.  To  date  the  reactors' 
cooling circuits have been successfully decontaminated and their insulation completely removed and treated. It is worth noting 
that  the  decontamination  process  allowed  to  minimise  the  staff  employed  for  dismantling  the  reactors  and  to  maintain  the 
programme end-date in 2025. 

Relevant findings of evaluation and/or programme related studies'  
In September 2016, the European Court of Auditors published the performance audit report38 on the decommissioning assistance 
programmes. To date the Commission has implemented a number of actions to address the Court's recommendations insofar they 
have been either accepted or partially accepted.  
In  2017  the  programmes  were  assessed  in  line  with  Article  9  of  the  relevant  regulation39,  with  the  aim  to  prepare  the  mid-term 
evaluation report to the European Parliament and the Council: Bulgaria and Slovakia have progressed effectively and efficiently in 

38 ECA Special Report 22/2016 - EU nuclear decommissioning assistance programmes in Lithuania, Bulgaria and Slovakia: some progress made since 2011, but 
critical challenges ahead. 
39 Council Regulation (Euratom) No 1368/2013 of 13 December 2013 on Union support for the nuclear decommissioning assistance programmes in Bulgaria and 
Slovakia, and repealing Regulations (Euratom) No 549/2007 and (Euratom) No 647/2010 (OJ L346, 20.12.2013, p.1) & correction (OJ L8, 11.1.2014, p.31). 

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the  decommissioning of  their reactors in line  with expectations  set  for the current Multiannual  Financial  Framework; there  have 
been challenges and setbacks due to the programmes' complexity, but the management system has proven – especially in Slovakia - 
increasing ability to anticipate emerging issues and cope with them as needed. 

Information about forthcoming implementation (2018-2019)  

As the  decommissioning operators in Kozloduy (BG) and  Bohunice (SK) have  got the relevant decommissioning licenses in  the 
past years, the way to dismantle the core systems was opened. In the coming years, the clean-up of controlled areas will generate an 
increased flow of materials being removed from the nuclear installation. 

Moreover additional buildings will disappear from the sites, as the dismantling and demolition processes will progress. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Council Regulation (Euratom) No 1368/2013 of 13 December 2013 on Union support for the nuclear 
decommissioning  assistance  programmes  in  Bulgaria  and  Slovakia,  and  repealing  Regulations 
(Euratom) No 549/2007 and (Euratom) No 647/2010 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

518,4 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Total 
Programme 

Financial Programming (EUR million) 

69,7 
69,7 

71,1 
71,1 

72,6 
72,6 

74,0 
74,0 

75,5 
75,5 

77,0 
77,0 

78,5 
78,5 

518,4 
518,4 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

74,005 

99,98 % 

90,722 

100,00 % 

75,485 

0,00 % 

43,088 

0,00 % 

Authorised appropriations (*) 

74,005 

99,98 % 

90,722 

100,00 % 

75,485 

0,00 % 

43,088 

0,00 % 

(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - not applicable 

4. Performance information 

General objectives 

General Objective 1: To assist the Member States towards the decommissioning end state of Kozloduy units 1 to 4 (Bulgaria) and 
Bohunice VI units 1 and 2 (Slovakia), whilst maintaining the highest level of safety 
Indicator  1: Number  of  major  components  and  systems  dismantled  in  all  the  concerned  nuclear  reactors  in  accordance  with  the 
respective decommissioning plans 

Baseline 2014 

2014 

2015 

Decommissioning 
Licence 
for Units 1-2 

Kozloduy programme 
- Preparatory works have 
started for the 
decontamination and 
dismantling activities in 
turbine halls and auxiliary 
buildings. 
- Dismantling of large 
components and equipment 
in the reactor buildings not 
yet started. 
- Facilities for the treatment 
and conditioning of waste 
are being put in place. 

Bohunice programme 

Licence issued 

Licence issued 

Results 

2016 

Plan 

Decommissioning 
Licence 
for Units 3-4 

Actual results 

2017 

2018 

2019 

Target 2020 

Ref. Detailed 
Decommissioning 
Plan 2014 
The planned 
completion date for 
the decommissioning 
of Kozloduy units 1 
to 4 is 2030. 

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Decommissioning 
licence 
2nd (final) stage 

Actual results 

- Dismantling of V1 turbine 
hall has started. 
- Dismantling of external 
buildings (Phase 1) has 
started. 
- Preparation of 
decontamination of V1 
primary circuits has started. 
- Stage 1 decommissioning 
waste management has 
started 

Specific objectives 

Licence issued 

Ref. Detailed 
Decommissioning 
Plan 2014 
The planned 
completion date for 
decommissioning of 
BohuniceV1 units 1 
and 2 is 2025. 

Specific Objective 1: (Kozloduy) Performing dismantling in the turbine halls of units 1 to 4 and in auxiliary buildings 
Indicator 1: Number and type of systems dismantled 

Baseline 2014 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

Decontamination and 
dismantling activities in 
turbine hall of units 1 and 
2 have started 

*June 2017 

Systems dismantled out of 160 main and auxiliary systems 

60% 

Metal dismantled – plan 

5 772 t 

11 544 t 

17 316 t 

20 202 t* 

4 854 t 

10 901 t 

Metal dismantled - results 
18 968 t* 
16 697 t 

Units 1-4 turbine hall 
fully dismantled 
100% 
Units 1-4 turbine hall 
metal dismantled 
40 400 t  

100% 

Expenditure related outputs 
In the period between January 2014 and June 2017 the amount of dismantled metal was  18 969 t, i.e. 47% of the target value by 
2020.  The dismantling of the civil structures in the turbine hall progressed visibly. In the period between January 2014 and June 
2017, 9 493 t of concrete were removed. The percentage of dismantling of the whole turbine halls was about 60% as of June 2017. 

Justification of changes to the financial programming and/or to the performance information 

Dismantling in the turbine hall progressed at satisfactory pace. 
Specific Objective 2: (Kozloduy) Dismantling of large components and equipment in the reactor buildings of units 1 to 4 
Indicator 1: Number and type of systems and equipment dismantled 

Baseline 2014 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

Dismantling activities started 
in reactor building not started 

Milestones - plan 

Start dismantling in  
reactor buildings 

Milestones - results 

Started 

0 

200 

147 t 

400 

Metal dismantled – plan 
744 
Metal dismantled - results 
326 t 
[Jun 2017] 

299 t 

On-going dismantling 
activities in reactor 
building 

1088 

1431 

1 775 t 
i.e. 100% 

Expenditure related outputs 
Dismantling activities inside the reactor building Units 1-2 have started. In the period between January 2014 and June 2017 the 
amount of dismantled metal was 326 t, i.e. 18% of the cumulative planned amount in 2020. 

Justification of changes to the financial programming and/or to the performance information 
In its initial stages, the dismantling inside the reactor building progressed at a slower pace than planned. This is due to a learning 
curve effect. 

Specific Objective 3: (Kozloduy) Safely managing the decommissioning waste in accordance with a detailed waste management 
plan 
Indicator 1: Quantity and type of safely conditioned waste 

Status 
01/01/2014 

Free release of materials start 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

5 762 t 

11 318 t 

19 998 t 

23 998 t* 

Free release - plan 

39 285 t 

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Treatment of historical 
radioactive waste  

*June 2017 

Free release - results 

4 791 t 

7 923 t 

15 954 t 

18 827 t* 

Production of final waste packages (RCC) - results 

2205 

30 

51 

231 

249* 

47% 

11% 

Expenditure related outputs 
As of June 2017 the quantity of material released from regulatory control (free release) has reached 18 827 t. i.e. 47% of the target 
in 2020. At the same date the production of final waste packages (i.e. Reinforced-Concrete Containers) was about 11% and 12% for 
the legacy waste and the decommissioning waste respectively. 

Justification of changes to the financial programming and/or to the performance information 

In its initial stages, the dismantling inside the reactor building progressed at a slower pace than planned. As a consequence the 
production of final radioactive waste packages has been lower than planned. 

Specific Objective 4: (Bohunice) Performing dismantling in the turbine hall and auxiliary buildings of reactor V1 
Indicator 1: Number and type of systems dismantled 
2015 

2017 

2014 

2018 

2019 

2016 
Milestones - plan 

Baseline 2014 
Dismantling in the turbine 
hall and auxiliary buildings 
of reactor V1 started 

Auxiliary 
Circuit System 
for Secondary 
Circuit - Phase 
2 
100% 
dismantled 

Electricity production 
system 
Auxiliary Circuit 
System for Secondary 
Circuit – Phase 1. 
Electric Power Supply 
System and Emergency 
Electric Power Supply 
System 
100% dismantled 

Secondary Circuit 
Cooling System 
100% dismantled 

100% 

100 % 

Milestones - results 

0% 
[Jun 2016] 

Secondary Circuit 
Cooling System 
20% dismantled 

Target 2020 
Dismantling in 
the turbine hall 
and auxiliary 
buildings of 
reactor V1 
completed 

Expenditure related outputs 

Dismantling  &  Decontamination  works  in  the  turbine  halls  and  auxiliary  buildings  are  winding  down,  with  the  last  task,  i.e. 
dismantling of cooling towers well underway, to be completed in 2018. As planned, all systems but one (i.e. the secondary circuit 
cooling system) in the turbine hall and auxiliary buildings of reactor V1 were dismantled on time. 

Justification of changes to the financial programming and/or to the performance information 

The dismantling of the cooling towers (i.e. the secondary circuit cooling system) will be completed in December 2018. The delay of 
1  ½  year  compared  to  the  original  milestone  does  not  impact  the  end-date  of  the  Bohunice  programme  in  2025.  The  project  is 
expected to be implemented for less than 50% of the original cost estimation of EUR 22.5 million. 

Specific Objective 5: (Bohunice) Dismantling of large components and equipment in the V1 reactor buildings 
Indicator 1: Number and type of systems and equipment dismantled 

Status 
01/01/2014 

Reactor core and ponds 
defueling started 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

Milestones - plan 

Primary Circuit 
Equipment Insulation 
dismantled 
Milestones - results 
100 % 

Nuclear Steam Supply 
System(NSSS) 
dismantled 
Auxiliary Circuit 
System for Primary 
Circuit dismantled 

Expenditure related outputs 

In 2014 the milestones have been met: the reactor core and ponds are defueled. Additionally a milestone of 2015 has been slightly 
anticipated: the 2nd stage licence has been issued end of December 2014. 

The  dismantling  of  insulation  in  the  V1  NPP  controlled  area  was  finished  in  December  2016.  Higher  than  originally  estimated 
volumes of radioactive waste necessitated the extension of the project completion date by a couple of months. 

The project to achieve the 2018 milestone has  been merged with the project 'Nuclear Steam Supply System' (original target date 
2020) which is now expected to be implemented by the end of 2022. 

Justification of changes to the financial programming and/or to the performance information 

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The  Bohunice  programme  (SK)  has  reached  a  high  level  of  maturity:  the  estimate  at  completion  of  the  overall  programme  is 
slightly decreasing and supported by a state-of-the-art plan for risks and contingencies, which provides a high level of confidence to 
the  estimations.  Important D&D  works  have been performed in the  reactor-building,  despite technical challenges encountered in 
early stages. To date the reactors' cooling circuits have been fully decontaminated. It is worth noting that this process allowed to 
minimise the staff employed for dismantling the reactors and to maintain the programme end-date in 2025. 

Specific Objective 6: (Bohunice) Safely managing the decommissioning waste in accordance with a detailed waste management 
plan 
Indicator 1: The quantity and type of safely conditioned waste 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

Status 
01/01/2014 

Conventional waste 
produced (tonne) 

Plan 

34 849 t 

105 543 t 

169 148 t 

182 818 t 

186 465 t 

239 577 t 

23 151 t 

74 093 t 

74 751 t 

74 927 t* 

Results 

Hazardous waste produced 
(tonne) 

Radioactive waste 
produced (tonne or Fibre 
Concrete Containers) 

277 t 

54 t 

5 t 

346 t 

174 t 

Plan 

888 t 

2 088 t 

3 266 t 

4 393 t 

Results 

182 t 

417 t* 

Plan 

617 t 

4 255 t 

4 861 t 

4 861 t 

4 965 t 

Results 

362 139 t 

4 912 t 

5 216 t 

1 440 t 
*June 2017. Quantitative milestones for waste production are fine-tuned in annual work programmes in function of the latest estimations of 
material inventories in installations to be dismantled.  

1 551 t* 

387 t 

909 t 

Expenditure related outputs 

As of June 2017 the quantity of material released from regulatory control (free release) has reached 74 927 t. The production of 
final waste packages (i.e. Fibre-Concrete Containers) was consistent with the generation of decommissioning waste. 
Justification of changes to the financial programming and/or to the performance information 

The progress in the free release of materials is behind schedule due to some delayed projects (e.g. demolition of V1 NPP's cooling 
towers). 

5. Programme contribution to the Sustainable Development Goals 

Not applicable, the programme has been designed in 2013, before the Commission adopted the Sustainable Development Goals. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

There are no financial instruments or trust funds financed by the programme. 

7. Programme related additional information 

In 2017 the Commission has verified the procurement procedure executed under the control of the implementing bodies (EBRD, 
CPMA). The verification confirmed that all procurement was performed in line with the rules and procedures in place. 

Earned Value Management 

The Commission services supported the beneficiaries in implementing an earned value management system, a project management 
technique for measuring performance and progress. 

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HEADING 1A: Competitiveness for growth and jobs 

Nuclear decommissioning assistance programme in Lithuania 
Lead DG: ENER 

I. Programme Overview 

What the programme is about? 

When  Lithuania  was a candidate  country to join the  European Union (EU), the  closure and subsequent decommissioning of  two 
Soviet-designed, first generation nuclear reactors at Ignalina was made a condition for their accession. As part of the agreement the 
Union declared its  willingness to continue  to provide adequate  additional  Community assistance to  Lithuania's decommissioning 
effort  and  the  Nuclear  Decommissioning  Assistance  Programme  was  established  to  assist  Lithuania  in  implementing  the 
decommissioning of Ignalina units 1 and 2 in accordance with an approved decommissioning plan, whilst maintaining the highest 
level of safety. 

EU added value of the programme 

Being confronted to early closure of their plants, it was not possible for Lithuania to accumulate sufficient funds from operation of 
the plants. It is therefore in the interests of the Union to provide further financial support until 2020 for the seamless continuation of 
decommissioning in order to progress towards the so called decommissioning end state, in accordance with approved plans, while 
keeping the highest level of safety. This will contribute to provide substantial and durable support for the health of workers and the 
general public, preventing environmental degradation and providing for real progress in nuclear safety and security. 
II. Programme Update 

Status of programme implementation (2014-2017) 

In June 2017, the Commission presented to the European Parliament and the Council the third report on the implementation of the 
nuclear  decommissioning  assistance  programme  to  Bulgaria,  Lithuania  and  Slovakia.  It  also  adopted  the  2017  annual  work 
programme  and  associated  financing  decision,  allocating  EUR  64.4  million  for  the  implementation  of  the  actions  in  Lithuania. 
These funds sum up to EUR 250 million allocated from 2014 to 2017. 

Key achievements 

The most important accomplishment was the removal of spent nuclear fuel from the reactor-buildings. This process started in last 
quarter 2016 and has progressed in 2017 in line  with plans and  with a potential to shorten the  schedule  without prejudice  to  the 
operational safety. The reactor unit 2 will be fully empty of spent fuel in March 2018. 
Dismantling & Decontamination works in the turbine halls and auxiliary buildings progressed well. Large volumes of equipment 
were dismantled maximising any possible options for reuse and recycling 

Relevant findings of evaluation and/or programme related studies 
In September 2016, the European Court of Auditors published  the performance audit report40 on the decommissioning assistance 
programmes. To date the Commission has implemented a number of actions to address the Court's recommendations insofar they 
have been either accepted or partially accepted.  
In  2017  the  programmes  were  assessed  in  line  with  Article  9  of  the  relevant  regulation41,  with  the  aim  to  prepare  the  mid-term 
evaluation  report  to  the  European  Parliament  and  the  Council:  Lithuania  has  progressed  effectively  and  efficiently  in  the 
decommissioning of the reactors  in line  with expectations  set for the current Multiannual  Financial  Framework; there have been 
challenges and setbacks due to the programmes' complexity, but the management system has proven increasing ability to anticipate 
emerging issues and cope with them as needed. 

Information about forthcoming implementation (2018-2019) 

The transfer of spent fuel to the dry storage facility will continue until 2022. In parallel, dismantling activities will generate further 
amounts of materials. Meanwhile the facilities for managing legacy and new radioactive waste have entered into operations, so that 
an increased flow of materials is expected from the nuclear installations. 
III. Programme key facts and performance framework 
1. Financial programming 

Council  Regulation  (Euratom)  No  1369/2013 of  13  December  2013 on  Union  support  for  the  nuclear 
decommissioning assistance programme in Lithuania, and repealing Regulation (EC) No 1990/2006 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

450,8 

40 ECA Special Report 22/2016 - EU nuclear decommissioning assistance programmes in Lithuania, Bulgaria and Slovakia: some progress made since 2011, but 
critical challenges ahead. 
41 Council Regulation (EU) No 1369/2013 of 13 December 2013 on Union support for the nuclear decommissioning assistance programme in Lithuania, and 
repealing Regulation (EC) No 1990/2006 (OJ L346, 20.12.2013, p.7) & correction (OJ L8, 11.1.2014, p.30 & OJ L121, 24.4.2014, p.59). 

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2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

60,6 
60,6 

61,9 
61,9 

63,1 
63,1 

64,4 
64,4 

65,6 
65,6 

67,0 
67,0 

68,3 
68,3 

Total 
Programme 
450,8 
450,8 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
64,352 

Impl. Rate 
100,00 % 

PA 
2,451 

Impl. Rate 
100,00 % 

CA 
65,639 

Impl. Rate 
0,00 % 

PA 
1,264 

Impl. Rate 
0,00 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

100,00 % 

100,00 % 

0,00 % 

0,00 % 

65,639 

64,352 

2,451 

1,264 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies -not applicable 

4. Performance information 

General objectives 

General Objective 1: To assist Lithuania towards the decommissioning end state of units 1 and 2 of the Ignalina nuclear power 
plant 
Indicator  1: Number  of  major  components  and  systems  dismantled  in  all  the  concerned  nuclear  reactors  in  accordance  with  the 
respective decommissioning plans 

Baseline 2014 
Ignalina programme 

- Unit 1 reactor core is 
defueled, unit 2 reactor core is 
partially defueled into the 
spent fuel ponds. 
- The spent fuel ponds in units 
1 and 2 are loaded to 
maximum capacity. 
- Facilities for waste 
management treatment and 
storage are being constructed. 
- Safe maintenance is 
performed without incidents. 
- Start of dismantling works 
in turbine hall of unit 1. 

Specific objectives 

2014 

2015 

2016 

2017 

2018 

2019 

Plan 

Target 2020 

Ref. 2014 
annual work 
programme 

Ref. 2015 
annual work 
programme 

Ref. 2016 
annual work 
programme 

Ref. 2017 
annual work 
programme 

Ref. 2015 
annual work 
programme 

Ref. 
monitoring 
reports 

Ref. 
monitoring 
reports 

Ref. 
monitoring 
reports 

Results 

Ref. Detailed 
Decommissioning 
Plan 2014 
The planned 
completion date for 
the decommissioning 
of Ignalina units 1 to 
4 is 2038. 

Specific  Objective  1: Defueling  of  the  reactor  core  of  unit  2  and  the  reactor  fuel  ponds  of  units  1  and  2  into  the  dry  spent  fuel 
storage facility 
Indicator 1: Number of unloaded fuel assemblies 

Status 01/01/2014 

2014  2015 

2016 

2017 
Milestones foreseen 

2018 

2019 

Target 2020 

Unit 1 reactor core defueled, 
unit 2 reactor core partially 
defueled into the spent fuel 
ponds; in the ponds are used 
and unloaded fuel assemblies 

Commissioning 
Spent Fuel 
Storage Facility 

Removal of spent 
fuel assemblies from 
Unit 2 reactor core 

Actual results 

Commissioning Spent Fuel 
Storage Facility 
Removal from spent fuel 
ponds started 

Complete defueling 
and transfer of all 
spent fuel assemblies 
to the dry spent fuel 
storage completed by 
end 2022 

No removal of spent fuel assemblies is planned before the commissioning of the Spent Fuel Storage Facility. 

Outputs 

2014 

Removal  of  spent  fuel  assemblies  from  Units  1 
and 2 spent fuel ponds 
Removal  of  spent  fuel  assembliesfromUnit2 
reactor core 

F 
P 
F 
P 

2015 

Number of outputs foreseen (F) and produced (P) 
2017 
2548 
2365 
454 
887 

2016 
0 
267 

2018 
5096 

908 

2019 
7644 

1134 

2020 
10192 

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Specific Objective 2: Safely maintaining the reactor units 
Indicator 1: Number of registered incidents 

Baseline 
2013 
Safe maintenance 
performed without 
incidents 

2014 

2015 

2016 

2017 

2018 

2019 

0 

0 

0 

0 

Target 

0 
Actual results 
0 

0 

0 

0 

Target 2020 

No incidents until 
complete defueling of 
units 1 and 2 

Expenditure related outputs 

The installation has been maintained with the highest level of safety as indicated by the absence of registered incidents in 2014. 

Justification of changes to the financial programming and/or to the performance information 

Specific  Objective  3: Performing  dismantling  in  the  turbine  hall  and  other  auxiliary  buildings  and  safely  managing  the 
decommissioning waste in accordance with a detailed waste management plan 
Indicator 1: Type and number of auxiliary systems dismantled and the quantity and type of safely conditioned waste 

Status 01/01/2014 

Dismantled equipment 
(tonne) 

Primary processed waste 
(tonne / m3) 

2014 

2015 

2016 

2017 

2018 

2019 

Target 

5 650 t 

12 669 t 

25 916 t 

29 268t 

Actual results 

5 790 t 

14 335 t 

21 384 t 

26 129 t* 

Target 

4 700 t 

5 800 m3 

14 872 m3 

15 372 m3 

Target 2020 

40454 t 

6250 t 

7 414 m3 

12 179 m3 

17 638 m3 * 

Actual results 

45000 m3 

*June  2017.  Quantitative  milestones  for  waste  production  are  fine-tuned  in  annual  work  programmes  in  function  of  the  latest  estimations  of 
material inventories in installations to be dismantled. The values for 2015, 2016 and 2017 have been correspondingly updated. 
Expenditure related outputs 

The  overall  performance  was  satisfactory.  The  amounts  of  equipment  dismantled  are  14%  below  plan;  the  overall  quantity  of 
radioactive waste processed and stored was 17% below the plan, although the performance for individual categories of waste varied 
above and below the estimates. 

Justification of changes to the financial programming and/or to the performance information 

Although not yet at planned pace, the performance is increasing and recovering towards the targets. Production capacities are suit 
for the decommissioning waste outputs. 

5. Programme contribution to the Sustainable Development Goals 

Not applicable, the programme has been designed in 2013, before the Commission adopted the Sustainable Development Goals. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

There are no financial instruments or trust funds financed by the programme. 

7. Programme related additional information 

In  2016  the  Commission  has  updated  the  pillar  assessment  of  the  Lithuanian  national  agency  implementing  the  Ignalina 
programme. The outcome of the assessment was positive. 

In 2017 the Commission has verified the procurement procedure executed under the control of the implementing bodies (EBRD, 
CPMA). The verification confirmed that all procurement was performed in line with the rules and procedures in place. 

Earned Value Management 

The Commission services supported the beneficiaries in implementing an earned value management system, a project management 
technique for measuring performance and progress. 

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HEADING 1A: Competitiveness for growth and jobs 

The Framework Programme for Research and Innovation (Horizon 2020) 
Lead DG: RTD 
Associated DGs: EAC, CNECT, HOME, ENER, AGRI, GROW, MOVE, JRC 

I. Programme Overview 

What the programme is about? 

Horizon  2020  is  the  biggest  EU  research  and  innovation  programme  ever.  It  aims  at  improving  EU  citizens'  life  through  more 
breakthroughs, discoveries and world-firsts by taking great ideas from the lab to the market. Investment in research and innovation 
is  essential  for  Europe’s  future  and  so  they  are  at  the  heart  of  the  Europe  2020  strategy  for  a  smart,  sustainable  and  inclusive 
growth. The  goal is to ensure Europe  produces  world-class science and technology, removes barriers to innovation and makes it 
easier for the public and private sectors to work together in delivering solutions to big challenges facing  the EU citizens and more 
globally our society. 

EU added value of the programme 

In accordance with the principles of subsidiarity and proportionality set out in Article 5 of the Treaty on European Union, there is 
compelling  evidence  that  Member  States  acting  alone  will  not  be  able  to  make  the  required  public  intervention  in  the  research 
domain in terms of achieving an appropriate, "critical mass" level of investment and battling fragmentation.  

Horizon  2020  plays  a  central  role  in  the  delivery  of  the  Europe  2020  strategy  for  smart,  sustainable  and  inclusive  growth  by 
providing a common strategic framework for the Union's research and innovation funding, thus acting as a vehicle for leveraging 
private investment, creating new job opportunities and ensuring Europe's long-term sustainable growth and competitiveness.  

The added value of investing in Research & Innovation at EU level is very large. Research & Innovation are public goods with a 
strong European dimension. EU investments in Research & Innovation leverage additional funds at national level (without evidence 
of substitution).  

Due to their scale, speed and scope, EU-funded projects would not have gone ahead with national funding alone. The benefits of 
EU investments relative to the national and regional level are:  
 

boosting EU competitiveness through the creation of trans-national and multidisciplinary networks and markets, with positive 
knowledge  spillovers  and  technology  transfer  across  the  Union  to  prepare  deployment  of  new  products  and  services  :  EU-
funded R&I teams are 40% more likely than non-EU funded teams to be granted patents, which are also of higher quality and 
commercial value; 
pooling  public  and  private  resources  and  knowledge  to  achieve  critical  mass  for  tackling  global  challenges  and  for  taking 
leadership, e.g. the work of the UN’s IPCC on climate change relied extensively on EU-funded research; only EU-level action 
can overcome the thin distribution of patients affected by rare diseasesi and the lack of standardisation and data; 
strengthening  scientific  excellence  through  EU-wide  competition  and  cooperation;  in  relative  terms,  in  the  world’s  top  1% 
most  cited  publications,  four  times  more  publications  derive  from  Horizon  2020  projects  than  from  any  other  source  of 
funding; EU-funded peer-reviewed publications are cited more than twice the world average; 
increasing the EU's attractiveness as a place for education, research, innovation and business: EU funding supports over 300 
000 researchers and innovators; the research impact of internationally mobile researchers, as supported by Marie Skłodowska 
Curie Actions, is up to 20% higher; EU-funded teams grow faster and attract twice as many collaborations from outside the 
EU; 
leveraging private investment: EU R&I projects induce the private sector to invest more of their own funds than they would 
under  national  funding  schemes;  so  far,  Horizon  2020  leveraged  EUR  13  billion  of  private  funds  and  mobilised  via  debt 
financing EUR 29.6 billion; 
having a positive structuring effect on national R&I ecosystems: the European Research Council has become a global beacon 
of excellence, inducing national and institutional changes to support and attract its grantees.  

 

 

 

 

 

II. Programme Update 

Horizon 2020 Programme performance update 

Management and implementation of the Horizon 2020 programme is undertaken by 26 different bodies: 

Nine Commission DGs: RTD, CNECT, GROW, MOVE, ENER, HOME, EAC, JRC, AGRI; 

Four executive agencies: European Research Council Executive Agency (ERCEA),Research Executive Agency (REA), Executive 
Agency for SMEs (EASME), Innovation & Networks Executive Agency (INEA); 

Four  public-public  partnerships,  Art  185  TFEU:  Active  and  Assisted  Living  –  AAL,  European  &Developing  Countries  Clinical 
Trials Partnership – EDCTP2, European Metrology Research Programme –EMPIR, Eurostars-2; 

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Seven public-private partnerships, Art 187 TFEU: Bio-based industries, - BBI, Clean Sky 2, ECSEL, Fuel Cells and Hydrogen  – 
FCH2,  Innovative  Medicines  Initiative  -  IMI2,  SESAR  and  Shift2Rail;  complemented  by  nine  contractual  Public-Private 
Partnerships (cPPP)The European Institute of Innovation and Technology (EIT); 

The European Investment Bank (EIB) and the European Investment Fund (EIF). 

The  Commission  has  taken  a  number  of  measures  to  ensure  a  consistent  and  harmonised  approach  amongst  the  different 
implementing services. There are a range of strategic coordination mechanisms, including the strategic programming exercise that 
leads to the development of the work programme. For Grant management, a Common Support Centre has been established, which 
provides  common  services  to  all  members  of  the  research  family.  There  are  common  rules  for  participation,  with  very  few 
derogations, to replace the multitude of rules set in the past. There is one common business process and one common IT system for 
the whole research family, instead of one per service. There is one database of projects and project outputs and results. And there is 
one front-end system for participants, with the same forms and procedures no matter which service is involved. 

Status of programme implementation (2014-2017) 

The  first  four-year  programme  (2014-2017)  was  fully  implemented,  with  a  budget  of  around  EUR  30  billion,  which  represents 
around 40% of the total for 2014-2020.  

By the end of 2017, 457 Horizon 2020 calls were concluded with around 150 000 eligible proposals requesting a total EU financial 
contribution of EUR 232 billion. Of these, over 15 000 grant agreements with around 80 000 participations had been signed. The 
proposal  success  rate  remained  low  at  about  12  %  (compared  to  19  %  in  FP7),  which  demonstrates  the  great  interest  in  the 
programme and the competitiveness of the selection process. 

For the concluded calls one proposal was retained for funding for, on average, about eight eligible proposals. This ratio, decreasing 
from 1/7 to 1/8 since 2014, demonstrates the attractiveness of the H2020 programme and the competitiveness of the call process. It 
also underlines the importance of a good evaluation process, as the most excellent projects need to be chosen from a large number 
of proposals. 

It  is  worth  noting  that,  in  2017,  24.90%  of  the  combined  budgets  for  'Societal  Challenges'  and  'Leadership  in  Enabling  and 
Industrial Technologies' – over EUR 4 billion in funding – went to SMEs; this meant that the goal for SME budget participation set 
in the EU Regulation establishing Horizon 2020 was exceeded by over 4%. Moreover, with slightly over EUR 1.1 billion awarded 
through the SME instrument calls, the budget allocated through the SME Instrument reached 6.86%, already very close to the target 
of 7% set for the entire Programme duration.   

In terms of legal entity participation across Horizon 2020, 20.8% of all participations were SMEs. 57.04% of successful applicants 
were newcomers, well on the way to achieve the target of 70% newcomers during the lifetime of the Programme. 

Key programme achievements to date (concrete examples of programme success stories / generated EU value added) 

At the moment, only few Horizon 2020 projects are complete, and so results and impact are not quantifiable in a meaningful way. 
Nonetheless,  a  selection  of  successful  EU  funded  projects  already  shows  great  strides  in  research  and  innovation  and  promising 
projects that may make a positive change in our daily lives are presented. 

The European Research Council (ERC) supports the best researchers from all over the world, tackling the major challenges 
of  today.  In  2017  in  the  area  of  cybersecurity,  Prof.  S.  Mangard  led  the  team  that  discovered  the  security  flaws  in  computer 
processors,  named  Meltdown  and  Spectre,  opening  new  paths  for  an  increased  security  into  the  design  of  modern  computer 
systems.  In  astronomy,  Prof.  B.  Sicardy  contributed  to  the  discovery  of  a  ring  around  dwarf  planet  Haumea,  showing  that  the 
presence of rings could be more common than was previously thought, in our Solar System as well as in other planetary systems. 
Prof. G. Courtine works on personalised neuroprosthetics. After restoring supraspinal control of leg movement in paralysed rats, he 
is now developing safer and more efficacious therapies to improve the quality of life for spinal cord injured individuals. In 2017, 
ERC publications represented nearly 7% of the highly (top 1%) cited papers, a remarkable achievement in less than 10 years. 
Support researchers at all stages of their careers, regardless of age and nationality since 20 years - 2017 celebrated the 20th 
anniversary of the MSCA and the 150th birthday of its namesake, the Polish-French double Nobel Prize winner Marie Skłodowska-
Curie, with a series of events around Europe and beyond. In 2017, two of the three new Nobel laureates in Chemistry, awarded the 
prize for optimising electron microscopes, have participated in MSCA and other EU-funded research projects.  

Bring researchers closer to the general public and demonstrate the impact of research on society and daily life - The annual 
European Researchers' Night attracted over 1 000 000 visitors in almost 350 cities in around 30 European countries and beyond and 
stimulated, especially among young people, interest in research and related careers. 

In 2017, more than 2250 researchers had access to research infrastructures under Horizon 2020 grants. The Pan-European 
Research Infrastructures offers increasingly sophisticated technologies that can only be hosted in large-scale platforms that combine 
Research with Development and integration with validation. In this way, Horizon 2020 turns into reality the recommendation of the 
European Strategy Forum on Research Infrastructures (ESFRI). 

Support the creation of a shared online repository to make all data from publicly funded research available for anyone to 
investigate and use - The European Open Science Cloud for Research Pilot Project (EOSCpilot project) supports the first phase in 
the development of the European Open Science Cloud (EOSC).  The European Open Science Cloud will offer 1.7 million European 

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researchers  and  70  million  professionals  in  science  and  technology  a  virtual  environment  with  open  and  seamless  services  for 
storage,  management,  analysis  and  re-use  of  research  data,  across  borders  and  scientific  disciplines.  It  will  connect  existing 
scientific data infrastructures, today scattered across disciplines and Member States.  

Sharing experience to unlock the power of synchrotron light in the Middle East - Support has been provided to SESAME, the 
“third-generation”  Synchrotron  light  source  for  Experimental  Science  and  Applications  in  the  Middle  East,  located  in  Allan 
(Jordan). The OPEN SESAME project will to ensure optimal exploitation of SESAME through an extensive training programme 
addressing both staff and potential users and aimed at enhancing technical, administrative and communication skills in the Middle 
East region. SESAME will be open to all scientists from the Middle East and elsewhere. SESAME is a very good example of the 
role of research infrastructures in science diplomacy, in line with the "Open to the World" goal for EU research and innovation. 

Developing policy related concepts for multi- Key Enabling Technologies (KETs) –Horizon 2020 funding has supported  open 
innovation test beds, supporting  up-scaling processes and support for the adoption of the  next  generation of nanotechnology and 
advanced  materials  by  European  manufacturing  enterprises,  especially  SMEs.  Existing  public-private  partnerships  in  advanced 
manufacturing  and  processing  (Factories  of  the  Future,  SPIRE  and  Energy-efficient  Buildings)  can  already  show  private 
investments between 1.5 and 5.4 times the public funding. 

Contribute  to  ensuring  that  space  technology  meets  EU  policies  -  Horizon  2020  supports  the  development  of  services  and 
applications relying on European space  assets, such as the  European Global Navigation  satellite (EGNSS): Galileo/EGNOS, and 
the European Earth observation system Copernicus.  It addresses the growing problem of space debris as well as other risks from 
space such as extreme space weather and near Earth objects.  Horizon 2020 also provides opportunities for developing new space 
technologies underpinning the next generation of space systems and enhancing the competitiveness of the European space sector.  

Access to risk finance for companies and other types of organisation engaged in research and innovation (R&I) – The access 
to risk finance budget supports and facilitates access to debt and equity financing for innovative companies of all sizes and also for 
research  centres  and  universities,  public-private  partnerships,  special-purpose  companies  or  projects,  and  joint  ventures.  The 
European  Commission  and  the  European  Investment  Fund  (EIF)  have  launched  a  call  for  setting  up  and  managing  one  or  more 
private-sector-led,  market-driven  Pan-European  Venture  Capital  (VC)  Funds-of-Funds.  In  total,  the  EU  funds  available  for  this 
initiative amount to EUR 400 million (the pooled effort of Horizon 2020, COSME and EFSI). The VC Fund(s) of Funds would, in 
their turn, invest in a combination of early-stage, later stage and expansion stage Venture Capital funds. This would be attractive to 
major  investors  and  would  bring  much  needed  private  investment  to  the  European  venture  capital  market.  Each  Fund  of  Funds 
would have a capital of at least EUR 500 million (made up of an EU contribution of max 25 % and the rest coming from private 
investors).  In  addition  to  this  initiative,  investigations  have  also  been  launched  into  how  crowdfunding  and  other  forms  of 
alternative finance could support research and innovation (R&I). 

Strengthening  international  collaboration  in  the  area  of  rare  diseases  and  rare  diseases  research  -  The  International  Rare 
Diseases Research Consortium (IRDIRC), initiated by the Commission and  receiving an important financial contribution through 
funded projects, achieved its objective of delivering 200 new therapies for rare diseases 3 years earlier then foreseen, showing the 
added value of the EU commitment to address global health challenges together with partners of other continents.  

Making effective treatment optimization accessible to every European citizen - The project Ubiquitous Pharmacogenomics (U-
PGx)  is  the  study  of  genetic  variability  affecting  an  individual’s  response  to  a  drug.  Its  use  allows  personalized  medicine  and 
reduction in  ‘trial and error’ prescribing leading to  more efficacious, safer and cost-effective drug therapy. The project  collected 
and  embedded  important  pharmacogenes  data  into  the  electronic  records  of  patients  in  NL,  ES,  UK,  IT,  AT,  GR  and  SL.  This 
allows  drug  prescribers  and  pharmacists  to  be  alerted,  through  an  electronic  clinical  decision  support  system,  when  a  drug  is 
ordered or dispensed for a patient with an at-risk genotype. This has the potential to  make actionable pharmacogenomic data and 
effective treatment optimization accessible to every European citizen.  

Contribution  to  a  more  resource  efficient  and  sustainable  low-carbon  economy  and  to  increasing  economic  growth  and 
employment,  in  particular  in  rural  areas  -  The  Bio-Based  Industries  (BBI)  Joint  Undertaking  is  a  Public-Private  Partnership 
between the EU and the Bio-based Industries Consortium aiming at increasing investment in the development of a sustainable bio-
based industry sector in Europe. It supports the project PEFerence, with a total investment of EUR 45 million, in order to establish 
an  innovative  supply  chain–including  setting  up  a  50,000  tons  demonstration  plant  –  for  bio-based  furandicarboxylic  acid  and 
polyethylene furanoate, innovative polyester for applications such as bottles, films and polyurethanes,  which could replace fossil-
based packaging materials and so reduce greenhouse gas emissions.  

Developing and deploying integrated observatory systems across the Mediterranean Sea  - There is a real need to harmonise 
existing earth observation systems operating around the Mediterranean and upgrading their oceanographic capacities. Horizon 2020 
has awarded €8.4 million to the international ODYSSEA consortium to integrate networks of observation and forecasting systems 
across the Mediterranean basin. It involves 28 partners from 14 countries, mainly around the Mediterranean basin.  

A European research project is developing a new, environmentally friendly way to give water a second life - The iMETland 
project uses bacteria that produce electricity when breaking down organic waste and is developing a new, environmentally friendly 
way to purify sewage water in small communities. These so-called electroactive bacteria can purify water up to ten times faster than 
conventional methods with the result being clean water, with zero energy cost and no residual pollution.  

High Temperature Solar-Heated Reactors for Industrial Production of Reactive Particulates - The production of cement and 
lime involves fossil fuels and produces harmful greenhouse gases. Industry could change this, if scientists can develop a technology 

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that can use solar power for high temperature industrial processes. The SOLPART project is developing and implementing, for the 
first time at a pilot scale, a high temperature (800-1000°C) 24h/day solar process suitable to meet this need. Thanks to the solar unit 
integration  in  the  industrial  process  (potentially  combined  with  CO2  capture),  this  will  result  in  a  considerable  reduction  of  the 
carbon footprint of the CO2 emitter industries and open a new market for renewable energies. 

TILOS project scoops two EU Sustainable Energy Awards and sets Tilos (Greece) on the way to be the first island in the 
Mediterranean powered solely by renewable energy - The goal is to develop integrated, stable and efficient energy provision for 
the Tilos island. The project is demonstrating and optimizing the integration of small-scale energy storage system in the island’s 
fully  operational  smart  grid  and  is  developing  a  smart  grid  control  system.  The  integrated  solution  is  aiming  at  maximizing  the 
renewable energy penetration while ensuring the micro grid stability, supporting demand side management and providing ancillary 
services to the main grid. The project offers a high potential of replicability for any island or micro grid system in Europe.  

E-ferry  –  prototype  and  full-scale  demonstration  of  next  generation  100%  electrically  powered  ferry  for  passengers  and 
vehicles- By developing and demonstrating the world’s most capable medium range electric car and passenger ferry, the  E-ferry 
project  addresses  an  urgent  need  to  cut  CO2  emissions  and  air  pollution  from  waterborne  transport.  The  revolutionary  E-ferry 
employs  56  tons  of  advanced  Lithium  Titanate  batteries,  DC  electrics,  high  efficiency  and  a  fast  charge  capability  to  deliver  7 
sailing per day, carrying 31 vehicles and almost 200 passengers over 40 km between Danish mainland and the island of Aero. The 
E-ferry project follows a Danish ERDF feasibility study, which illustrated the substantial impacts that could be achieved from an 
electric ferry in comparison with a conventionally fuelled ferry over the same route.  E-ferry uses 50% less energy each year and 
cuts  pollution  by  2,000  tons  of  CO2,  41,500  kg  of  NOx,  1,350  kg  of  SO2  and  2,500  kg  of  particulates.  E-ferry  brings  together 
stakeholders  from  across  Europe  and  develops  a  technology  which,  together  with  adequate  port  infrastructure,  can  provide  zero 
emission medium range ferry connections. Demonstration is foreseen for autumn 2018.  

EU research and innovation address social exclusion, discriminations and various forms of inequalities - Project HOME_EU 
promoted  changes  in  the  European  public  policies  on  homelessness.  Project  ETHOS  put  forward  an  inclusive  and  innovative 
European theory of justice set up in a way to give a much-needed voice to vulnerable populations. Project SIGN-HUB created a 
unique user-friendly and comprehensive repository for the cultural heritage of deaf communities. These projects are but a small part 
of  R&I  agendas  through  which  the  social  sciences  and  humanities  provide  ongoing  support  to  reversing  economic  and  social 
inequalities, promoting fairness, boosting co-creation, and building a shared public and cultural European space.  

Development  of  tools  to  support  realtime  coordination  of  the  emergency  response  operations  to  face  the  challenge  of 
extreme weather and climate events - The ANYWHERE project is building a multi-hazard early warning system to support first-
responders  during  floods,  storms,  forest  fires,  droughts  etc.  One  focus  is  to  study  the  activation  of  flash  flood  warnings  of 
previously identified at-risk areas. This will enable first-responders to anticipate the impact of flash flood at the municipal level and 
to pre-identify priority targets (bridges, flooding roads, drinking water and wastewater treatment plants, etc.) during such events. 
Warnings will also be designed for sensitive buildings such as hospitals, schools or industries located in flooding areas.  

Discovering,  detecting,  analysing,  and  monitoring  potential  terrorist-related  activities  and  people  -  DANTE  project 
("Detecting  and  ANalysing  TErrorist-related  online  contents  and  financing  activities"),  which  brings  together  radicalisation  and 
cybercrime,    delivers  automated  data  mining,  analytics  solutions  and  an  integrated  system  to  detect,  retrieve,  and  analyse  huge 
amounts of heterogeneous and complex multimedia and multi-language (in five languages) terrorist-related contents from both the 
Surface  and  the  Deep  Web,  including  the  Dark  Nets.  The  ultimate  goal  is  to  discover  (by  “connecting  the  dots”),  analyse  and 
monitor  potential  terrorist-related  activities  and  people,  with  focus  on  online  fund  raising  activities,  but  also  considering 
propaganda,  training  and  disinformation.  Starting  from  lab  and  pre-prototype  tools  and  methods,  a  market  ready  product  with 
higher Technology Readiness Level (TRL) will be the major outcome of DANTE.  

Monitoring social progress in Europe – One of the many contributions of the Joint Research Centre (JRC) to several Commission 
initiatives is to support measuring and monitoring progress of policies, such as the social scoreboard platform launch in 2017 The 
Social  Scoreboard  supports  the  European  Pillar  of  Social  Rights  implementation  with  key  indicators  tracking  major  social  and 
employment developments in the EU and the Euro area. It aims to be easily accessible and understandable to the citizens. 

A consortium of 50 partners from leading businesses, research centres and universities across 13 countries  putting Europe 
at the centre of a global revolution in food innovation and production - In 2017, EIT has successfully set-up its 6th Knowledge 
and  Innovation  Communities  (KIC).  This  new  pan-European  partnership  (EIT  Food)  brings  together  leading  businesses, 
universities and research organisations across the EU and beyond. Its mission is to ensure a climate-resilient and sustainable global 
food value chain. The aim is  to boost innovation, growth and job creation and put Europe at the centre of a global revolution in 
food. Moreover, the EIT has further expended its action in EU countries that lag behind in terms of innovation through its Regional 
Innovation Scheme (EIT RIS).  

All the European Commission's information on details of each EU-funded research project: the grant, the funding and participants, 
the projects' summaries, the latest results and links to specific publications and other documents are available on 
http://cordis.europa.eu/projects/home_en.html. 

Relevant findings of evaluation and/or programme related studies 

The Horizon 2020 interim evaluation was completed and published in May 2017. Some key findings are: 
 

the programme is attractive with more than 33 000 applications per year (compared to 20 000 in FP7) and participants 
from more than 130 countries; 

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 

 

the programme is on track to be cost-efficient, achieving low administrative overhead, thanks to the externalisation of 
programme  implementation, the  creation of a  Common Support Centre and the large-scale  simplification of the rules 
for participations,  which  has  lowered costs for participants and reduced the time  to sign contracts  which is 110 days 
faster than FP7; 
the success rate for applicants is 11.6%, against 18.4% in FP7; an additional 62.4 billion Euro would have been needed 
to fund all proposals evaluated as high-quality; 
52% of successful applicants are newcomers to the EU Framework Programmes, and almost half of them are SMEs; 

 
  SME participation exceeds the 20% target; 

o 

it is estimated that more than 340 000 researchers have been supported through FP7 and Horizon 2020; 

35 000 researchers have access to research infrastructures thanks to Horizon 2020; 

 
  Marie-Slodowka-Curie Actions supported the international mobility of 27 000 researchers; 
 

4 043 peer-reviewed publications  have been produced,  more than two-thirds in open access, and they are cited  more 
than twice the world average; 

  more than 1 in 5 publications are based on academia/private sector collaboration; 
 

153 patent applications and 24 trademarks are reported so far; as well as 229 prototypes, 801 testing activities, and 81 
clinical trials; 
5700  organisations  funded  under  the  Access  to  Risk  Finance  part  (EUR  13  billion  of  private  funds  leveraged,;  EUR 
29.6 billion of investments mobilised through debt financing); 
83% of projects would not have gone ahead without EU funding; 
every euro invested under Horizon 2020 brings back an estimate of 6 to 8.5 Euros in GDP gain by 2030.   

 

 
 

The interim evaluation identified a number of key remaining challenges: 

  Horizon 2020 suffers from large-scale oversubscription, much greater than FP7, which constitutes an enormous 

 

 

waste of resources and of excellent proposals not being funded; 
there is potential in terms of supporting breakthrough, market-creating innovation, but such support could  be 
strengthened substantially; 
there is a need for greater outreach to civil society to better explain results and impacts and the contribution that 
research and innovation can make to tackling societal challenges, and to involve them better in the programme co-
design (agenda-setting) and its implementation (co-creation); 
synergies with other EU programmes can be strengthened further; 

 
  while Horizon 2020 has achieved a broad international outreach, international cooperation needs to be intensified; 
  while great progress has been made in terms of simplification, it remains a continuous endeavour, and there is 

scope for rationalising the Horizon 2020 landscape; 

  while great progress has been made in terms of making scientific publications and data openly accessible to the 

wider scientific community and public, more can be done in this respect. 

These challenges are being addressed in different  ways: where possible in the work programmes 2018-2020 (for example 
more  two-stage  calls  to  reduce  the  problem  of  oversubscription,  pilots  for  the  European  Innovation  Council  to  support 
breakthrough innovation, pilots on simplified funding schemes, flagship initiatives for international cooperation), by other 
policy initiatives (for example on Open Science) or in the process of developing the next Framework Programme.  

Information about forthcoming implementation (2018-2020) 

The final Work Programme for Horizon 2020 was adopted in October 2017, covering the budgetary years 2018, 2019 and 2020 and 
representing an investment of around  EUR 30 billion. The 2018-2020 Work Programme built on the success of Horizon 2020 so 
far, and taking account of the extensive interim evaluation of the programme  it responds to the European Commission's political 
priorities and paves the way for its successor programme. 

The new features include measures to support market-creating innovation, highly integrated activities called focus areas, emphasis 
on better dissemination of results and a focus on open access to data. The Work Programme also includes measures to answer some 
of the remaining challenges identified in the Horizon 2020 interim evaluation, to increase simplification (e.g. lump sum funding), to 
widen participation from less performing countries, and to address skills mismatches.  

The Work Programme aims: 
 

to  support  market-creating  innovation  most  notably  the  introduction  of  the  European  Innovation  Council  (EIC)  pilot  with  a 
budget of EUR 2.7 billion and highly integrated activities called ‘focus areas’; 

 

to  address  political  priorities  of  the  Commission  through  defining  targeted  research  and  innovation  actions  that  can  deliver 
significant  impact.  'Focus  areas'  have  been  designed  around  four  political  priorities:  a  low-carbon,  climate  resilient  future; 
circular  economy;  digitising  and  transforming  European  industry  and  services;  and  security  union.  These  focus  areas  are 
'virtual calls' that cut across several parts of the Work Programme and that are endowed with a substantial budget. Focus areas 
are expected to create an exceptional impact, addressing ‘big ticket' challenges;  

 

to widen participation from less performing countries, and to address skills mismatches. 

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III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation  (EU)  No  1291/2013  of  the  European  Parliament  and  of  the  Council  of  11  December  2013 
establishing  Horizon  2020  -  the  Framework  Programme  for  Research  and  Innovation  (2014-2020)  and 
repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104).    Council Decision 2013/743/EU of 3 
December  2013  establishing  the  Specific  Programme  Implementing  Horizon  2020  -  The  Framework 
Programme for Research and Innovation (2014 - 2020) and repealing Decisions 2006/971/EC, 2006/972/EC, 
2006/973/EC, 2006/974/EC and 2006/975/EC (OJ L 347, 20.12.2013, m. 965).  Regulation (EU) 2015/1017 
of  the  European  Parliament  and  of  the  Council  of  25  June  2015  on  the  European  Fund  for  Strategic 
Investments,  the  European  Investment  Advisory  Hub  and  the  European  Investment  Project  Portal  and 
amending  Regulations  (EU)  No  1291/2013  and  (EU)  No  1316/2013  —  the  European  Fund  for  Strategic 
Investments (OJ L 169, 1.7.2015, p. 1). 

2014 - 2020 

74 828,3 

Administrative support 
Operational appropriations 
Executive Agency 
Joint undertaking 
Other bodies 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

496,3 
7 575,3 
99,9 
625,2 
226,4 
9 023,1 

489,9 
7 620,9 
114,2 
1 060,6 
253,8 
9 539,4 

497,6 
7 754,0 
124,5 
916,7 
249,6 
9 542,5 

494,6 
8 618,7 
138,3 
872,0 
300,4 
10 423,9 

498,0 
9 070,4 
144,5 
1 103,3 
396,2 
11 212,4 

509,0 
9 747,1 
155,5 
1 293,8 
456,1 
12 161,5 

524,6 
10 470,4 
158,2 
1 536,8 
496,8 
13 186,8 

Total 
Programme 
3 509,9 
60 856,8 
935,1 
7 408,4 
2 379,4 
75 089,6 

2017 

2018 

CA 
10 423,886 

Impl. Rate 
99,99 % 

PA 
8 578,730 

Impl. Rate 
99,13 % 

CA 
11 212,379 

Impl. Rate 
19,48 % 

PA 
10 042,857 

Impl. Rate 
21,07 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

12 284,716 

10 766,032 

12 049,841 

11 973,459 

84,55 % 

18,43 % 

19,30 % 

93,74 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

Contribution to mainstreaming of climate action 

n
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S

Appropriations 

1. Specific Objective - European Research Council 

2. Specific Objective - Future and Emerging Technologies 

3. Specific Objective –Marie Sklodowska-Curie actions 

4. Specific Objective - Research infrastructures 

5. Specific Objective - Enabling and Industrial Technologies 

6. Specific Objective – Access to risk finance 

7. Specific Objective - SMEs 

8. Specific Objective - Health 

9. Specific Objective - Food 

10. Specific Objective - Energy 

11. Specific Objective - Transport 

12. Specific Objective - Resource efficient and climate change resilient economy 

Budget 2018 
(EUR million) 
163,1 

DB 2019 
(EUR million) 
332,3 

0 

200 

105 

244,6 

0 

0 

60 

277,4 

679,9 

461,4 

233,7 

0 

206 

76 

342 

0 

0 

92 

426,7 

770,1 

538 

259,3 

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Appropriations 

13. Specific Objective - Inclusive, innovative and reflective European societies 

14. Specific Objective - Secure European societies 

15. Specific Objective - Spreading excellence and widening participation 

16. Specific Objective - Science with and for society 

17. Specific Objective - Non-Nuclear Direct Actions of the Joint Research Centre 

18. Specific Objective - European Institute of Innovation and Technology 

Budget 2018 
(EUR million) 
0 

DB 2019 
(EUR million) 
0 

0 

0 

2,4 

8,2 

173 

16,8 

0 

4 

11,5 

162 

g
n
i
d
a
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r
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S

n
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n
i
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d
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w

y
t
e
i
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o
s

r
o
f

d
n
a

TOTAL 

2 608,7 

3 236,8 

These estimates for 2019 have been calculated by applying the climate tracking methodology (0%, 40% and 100%), generally at the 
level of the specific objectives/challenges, by taking into consideration both past experience (i.e. using the confirmed figures) and 
the  topics  to  be  included  in  the  2019  Work  Programme.  For  the  specific  objective  1,  the  methodology  used  to  calculate  the 
contribution to climate action from ERC is based on the assignments made to ERC evaluation panels taking into consideration the 
previous results. For the bottom-up areas of spending (SO.3, SO.6, SO.7), Rio markers are assigned on a grant basis. This amount is 
estimated on the basis of the percentage resulting from 2017 grants. For certain topics under SO.8  - 14, a provisional estimate of 
0% has been attributed to climate-related expenditure for 2018 and 2019. This estimate will be reviewed in light of the projects that 
will  be  actually  funded.  For  SO.17,  the  JRC  identified  all  non-nuclear  institutional  work  programme  activities  ongoing  in  the 
relevant period and rated them as per their contribution to mainstreaming of climate action. The data were then aggregated per key 
objective/heading and applied to the allocation of institutional specific credits concluding with the final contribution reported.  

Climate related objective: To contribute to building a low-carbon, resource-efficient and climate resilient economy 

Indicator : Climate-related expenditure (%) 

Baseline 

New approach 
(cumulative budget) 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones 

28.0 

29.0 

29.0 

30.0 

29.8 

30.3 

Results 

Target 2020 

  > 35% of the H2020 budget 

The Regulation establishing Horizon 2020 states that climate-related expenditure should exceed 35% of the overall Horizon 2020 
budget. The indicators above show the share of Horizon 2020 expenditure allocated to climate are cumulative and cover most of all 
the projects signed under Horizon 2020. According to the tracking methodology, Horizon 2020 has so far invested about € 8 billion 
on climate change. Despite a considerable increase compared to FP7, investment for climate action has not yet reached its target 
yet.  Attaining  the  target  will  remain  a  challenge,  and  particular  attention  and  budget  have  been  devoted  to  climate  action  in  the 
Work Programme 2018-2020. 

2014 – 2016 

2017-2018 estimates 

2019-2020 programming 

2014 (MEUR) 

2015 (MEUR) 

2016 (MEUR) 

2017 (MEUR) 

2018 (MEUR) 

2019 (MEUR) 

2020 (MEUR) 

2 387,5 

2 709,6 

2 623,0 

3 245,0 

2 607,8 

3 236,8 

2 831,6 

Total 
2014-2020  
(MEUR) 
19 624,2 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Contribution to financing biodiversity 

Relevant objective/output 

1. Specific Objective - European Research Council 
3. Excellent science –Marie Sklodowska-Curie actions - strengthening skills, training and career 
development 
4. Excellent science – Research infrastructures 
5.Industrial leadership - boosting Europe's industrial leadership through research, technological 
development, demonstration and innovation in the following enabling and industrial technologies 
9.Societal challenges – to secure sufficient supplies of safe and high quality food and other bio-based 

Budget 2018 
(EUR Million) 
90,6 

DB2019 
(EUR Million) 

117,3 

48,6 

50 

0 

48 

45 

0 

178,8 

328,6 

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Relevant objective/output 

Budget 2018 
(EUR Million) 

DB2019 
(EUR Million) 

products, by developing productive and resource-efficient primary production systems, fostering related 
ecosystem services, alongside competitive and low carbon supply chains 
12.Societal challenges – to achieve a resource efficient and climate change resilient economy and a 
sustainable supply of raw materials 
17.Non-Nuclear  Direct  Actions  of  the  Joint  Research  Centre  –  to  provide  customer-driven  scientific  and 
technical support to Union policies, while flexibly responding to new policy demands 
Total 
These estimates for 2018 and 2019 have been calculated by applying the biodiversity tracking methodology (0%, 40% and 100%), generally at the 
level of the specific objectives/challenges by taking into consideration both past experience (i.e. using the confirmed figures) and the topics to be 
included  in  the  2019  Work  Programme.  For  the  bottom-up  areas  of  spending  (SO.  1,  SO.  3  and SO.4)  a  provisional  estimate  of  0%  has  been 
attributed  to  financing  biodiversity.  For  certain  topics  under  SO.8-SO.14,  a  provisional  estimate  of  0%  has  been  attributed  to  climate-related 
expenditure. This estimate will be reviewed in light of the projects that will be actually funded. For SO.17, the JRC identified all work programme 
activities  ongoing  in  the  relevant  period  and  rated  them  as  per  their  contribution  to  biodiversity.  These  data  were  then  aggregated  per  key 
objective/heading and applied to the allocation of institutional specific credits concluding with the final contribution reported. 

434,1 

612,1 

69,1 

63,1 

3,0 

4,1 

2014(MEUR) 
354,7 

2014 – 2016 

2017-2018 estimates 
2015(MEUR)  2016(MEUR)  2017(MEUR)  2018(MEUR)  2019(MEUR)  2020(MEUR) 

2019-2020 programming 

352,6 

392,2 

159,6* 

434,1 

612,1 

567 

Total 
2014-2020 
2872,3 

* Incomplete figures at this stage as not all grant agreements have been signed. 

3.2.4 Mandatory targets for Horizon 2020 

Objective: To leverage and boost engagement of industry 
Indicator: Share of Horizon 2020 funds42allocated to SMEs; of which share of funds allocated through the SME instrument 

Baseline 

2014 

2015 

SMEs -  SME instrument 
(budget cumulative) 

New approach 

5,0 

5,1 

SMEs – total 
(budget cumulative) 

17,2% (June 2013) 

22,8 

Expenditure related outputs 

Milestones 
2016 
5% 
Results* 
5,6 
20% 
Results** 
23,9 

23,7 

2017 

2018 

2019 

Target for Horizon2020 

6,9 

24,9 

7% 

20% 

Output 

Draft Budget 2019 

Number 

EUR million 

Budget line 08 02 08 00(RTD) 
Grants 
Total 
The number of “SME-instrument” grant is for information, as they are indicated under each specific objective.  

(1400) 

541,6 
541,6  

Gender mainstreaming 

In Horizon 2020 the strategy on gender equality as a cross-cutting issue focuses on three main objectives:  
  Fostering equal opportunities and gender balance in research teams, in order to close the gaps in the participation of women. 
  Ensuring  gender balance in decision-making, in order to reach the target of 40% of the  under-represented sex in panels and 

 

groups and of 50% in advisory groups. 
Integrating  the  gender  dimension  in  research  and  innovation  (R&I)  content,  taking  into  account  as  relevant  biological 
characteristics  as  well  as  social  and  cultural  features  of  both  women  and  men  in  research  content  (through  sex  and  gender 
analysis).  

These objectives are implemented through a series of Commission provisions which are integrated, as relevant, at various stages of 
the Research and Innovation cycle. 

Gender  balance  in  research  teams.  In  the  Work  Programmes,  applicants  are  encouraged  to  promote  equal  opportunities  in  the 
implementation  of  the  action  and  to  ensure  a  balanced  participation  of  women  and  men  at  all  levels  in  research  and  innovation 
teams. In the first three years of Horizon 202043 the share of women participants in Horizon 2020 projects was 38.9 % of the total 
workforce, including non-researchers, while women represented 35.1 % of projects coordinators. 

Gender  balance  in  decision  making  The  share  of  contracts  signed  with  women  experts  participating  in  evaluation  panels  was 
41%, while in Horizon 2020 advisory groups women's participation was 55.2%. 

42 Total combined budgets of the specific objective "Leadership in enabling and industrial technologies" and all Horizon 2020 specific objectives on "societal 
challenges". 
43 The source of the data on gender equality is 'HORIZON 2020 IN FULL SWING — Three Years On - Key facts and figures 2014-2016', unless else specified. 

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Gender  dimension  in  research  and  innovation  content  The  gender  dimension  in  research  content  continues  being  explicitly 
mentioned in several topics across the parts of the Work Programme and applicants’ attention is drawn to the relevance of taking 
into account the biological characteristics and/or the social/cultural features of both women and men in the content of their planned 
research. Since the launch of Horizon 2020, 32.5% of grants took into account the gender dimension in the research and innovation 
content44. 
Gender  equality  in  R&I  in  the  European  Research  Area  (ERA)  Gender  Equality  in  R&I,  as  one  of  the  key  priority  in  the 
European  Research  Area  (ERA),  addresses  the  same  objectives  as  in  Horizon  2020.  In  collaboration  with  Member  States  and 
research institutions, the focus is put on institutional change at the level of research performing  organisations (RPOs) and research 
funding organisations (RFOs), including universities to:  

a) Remove cultural and institutional barriers that generate direct or indirect discrimination in scientific careers; 
b) Ensure gender balance in decision-making and; 
c) Integrate the gender dimension in research content. 

As reported in the 2016 ERA Progress Report, while parity in the earliest stages of the research career seems at hand, the levels of 
parity diminish as researchers move up the ladder of career progression stages; furthermore, these decreases at more senior career 
stages  show  no  signs  of  substantial  change  in  recent  years.  Regarding  gender  dimension  in  research  content,  European  research 
takes into account the biological characteristics as well as the social and cultural features of both women and men, and integrates a 
gender  dimension  about  as  often  as  the  global  average.  Increasing  integration  of  the  gender  dimension  in  research  in  Europe  is 
essentially moving in parallel with increases at the world level, and at a slightly smaller rate. 

4. Performance information 

General objectives 

General  Objective  1: to  build  a  society  and  an  economy  based  on  knowledge  and  innovation  across  the  whole  Union,  while 
contributing to sustainable development 
Indicator 1: The Europe 2020 R&D target (3% of GDP) 

Baseline 
(Eurostat, 2013) 

2014 

2015 

2,02 % 

2,03% 

2,04% 

Indicator 2: Innovation Output Indicator 

Milestones foreseen 

2017 

2018 

2019 

2016 
2,5 % 

Actual results 

2,03% 
(provisional) 

Baseline 
2013 

102,1 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

103,6 

(not yet 
available) 

Actual results 

Indicator 3: Share of researchers in the EU active population 

Baseline 
(Eurostat, 2013) 

1,14% 

Milestones foreseen 

2014 

2015 

1,17% 

1,20%  

2016 
1,21 % 

Actual results 

1,23% 
(provisional) 

2017 

2018 

2019 

Target 2020 

3 % of GDP 

Target 2020 

The composite nature 
of this indicator is not 
particularly suited to 
establishing a target 

Target 2020 

1,33 % 

The General Objective contributes to the following Europe 2020 headline targets: By stimulating the generation of more sustainable growth and 
the creation of new jobs in the EU, it helps to raise the share of population employed. By contributing directly to R&D expenditure and leveraging 
public and private funds towards this sector, it helps raising the R&D investment in the EU. Finally, in order to promote sustainable development, 
support is provided to climate change and energy research. This has an impact on the reduction of emissions, the promotion of renewable energy 
sources and the increase of energy efficiency, thus making progress towards the 20/20/20 climate/energy targets. 

Specific objectives 

Specific Objective 1: Excellent science - European Research Council (ERC) - strengthening frontier research 
Indicator 1: Share of publications from ERC-funded projects which are among the top 1 % highly cited per field of science 

44 Source: Corda. The share is based on 9703 grants signed. The ERC Part has a bottom-up approach; hence these grants are not included in this computation. 
Further insight on this indicator can be found in the report  
'Interim Evaluation: Gender equality as a crosscutting issue in Horizon 2020'. 

57/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Baseline 

New approach 

2014 

2015 

2016 

2017 

Milestones foreseen 

Actual results 
No significant information 
available yet 

2019 

Target for Horizon 
202045 

2018 
1,5 

1,8 

Expenditure related outputs 

Output 

Budget line 08 02 01 01 (RTD) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Total 
of which, Climate-related expenditure 

Draft Budget 2019 

Number 

EUR million 

1030 

1954,5 

2 

14,5 

1969 
332,3 

Specific  Objective  2: Excellent  science  -  Future  and  Emerging  Technologies  -  strengthening  research  in  future  and  emerging 
technologies 
Indicator 1: Publications in peer-reviewed high impact journals 

Baseline 

2014 

2015 

2016 

New approach 

Milestones foreseen 

2017 
22 
Actual results 

590 publications  
7 publications per EUR 10 
million funding 

2018 

2019 
29 

Target for Horizon 2020 

25 publications per  EUR 
10 million funding 

Indicator 2: Patent applications and patents awarded in Future and Emerging Technologies 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 
2016 

2017 

Actual results 

3 patent applications 

Expenditure related outputs 

Output 

Budget line 08 02 01 02 (RTD) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others46 
Subtotal 
of which, Climate-related expenditure 
Budget line 09 04 01 01 (C-NET) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Total of the Specific Objective 
of which, Climate-related expenditure 

2018 

2019 
1 

Target for Horizon 2020 

1 patent application per  
EUR 10 million funding 

Draft Budget 2019 

Number 

EUR million 

44 

p.m 

169,3 

1,2 
259,5 

430,0 
0 

Specific Objective 3: Excellent science - Marie Sklodowska-Curie actions - strengthening skills, training and career development 
Indicator 1: Cross-sector and cross-country circulation of researchers, including PhD candidates (cumulative number) 

45 The reference for this target is the year when the last actions financed under Horizon 2020 will be finished, i.e. several years after the formal end of the 
programme in 2020. 
46 For example: grants to named beneficiaries, Public-Public Partnership based on Article 185 TFEU. 

58/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Baseline 
2007 - 2013 

50000 researchers 
(~10 000 PhD candidates) 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

7 500 
researchers 
(~3 000 PhD 
candidates) 

16 500 
(~6 000 PhD 
candidates) 

25 000 
(~10 000 PhD 
candidates) 

34 000 
researchers 
(~13 000 PhD 
candidates) 

43 500 
(~17 400 PhD 
candidates) 

53 500 
(~21 400 PhD 
candidates) 

Actual results 

7 700 
researchers 
(~3 400 PhD 
candidates 

15 400 
researchers 
(~6 800 PhD 
candidates) 

25 000 
researchers 
(~ 11 000 PhD 
candidates) 

36 000 
researchers 
(~14 000 PhD 
candidates) 

Target for Horizon 
2020  
(Cumulative 
figures) 

65000 researchers 
(~25 000 PhD 
candidates) 

Expenditure related outputs 

Output 

Budget line 15 03 01 01 (EAC) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Total of the Specific Objective 
of which, Climate-related expenditure 

Draft Budget 2019 

Number 

EUR million 

1900 

3 

330 

914,4 

2,5 

0,9 

917,8 
206 

Specific Objective 4: Excellent science - Research infrastructures - strengthening European research  infrastructures, including e-
infrastructures 
Indicator 1: Number of researchers who have access to research infrastructures through Union support 

Baseline 
(FP7) 

22000 (2013) 
28559 (2014) 
33741 (2015) 

2014 

2015 

2016 

2017 

Milestones foreseen 

Actual results 

2253 

2018 
12000 

2019 

Target for Horizon 
2020 

20000 

Expenditure related outputs 

Output 

Budget line 08 02 01 03 (RTD) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Other 
Subtotal 
of which, Climate-related expenditure 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others (SGA for the GEANT FPA) 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

Budget line 09 04 01 02 (C-NECT)  

Draft Budget 2019 

Number 

EUR million 

43 

234,8 

42 

1 

0,5 

235,3 
54 

130,4 

0,3 
138,5 
22 
373,8 
76 

Justification of changes to the financial programming and/or to the performance information 
The  Horizon  2020  target  for  the  year  2020  has  been  calculated  based  on  the  2013  FP7 figures.  Although  the  overall  budget  for 
research infrastructures has increased in Horizon 2020 compared to FP7, the result for this indicator is expected to slightly decrease 
since priority in Horizon 2020 will be given to the new emerging infrastructures as well as to targeting new communities (starting 
communities) whose infrastructures are usually not able to provide as large an access as the advanced communities. At this stage, 
the indicator does not apply to e-Infrastructures projects. Figures for researchers accessing e-Infrastructures through Union support 
will be added as data become available. It has also to be noted that all the actions will be finished several years after the year 2020. 

59/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Specific Objective 5: Industrial leadership - boosting Europe's industrial leadership through research, technological development, 
demonstration and innovation in the following enabling and industrial technologies (information and communication technologies; 
nanotechnologies; advanced materials; biotechnology; advanced manufacturing and processing; space) 
Indicator 1: Patent applications and patents awarded in the different enabling and industrial technologies 

Baseline 

2014  2015 

2016 

2017 

2018 

2019 

2020 

Milestones foreseen 

Target for Horizon 
2020 

ICT 
(FP7: 0,9 patent applications per EUR 10 
million funding) 
NMBP  
(FP7: 2 patent applications per EUR 10 
million funding)  
Space 
(FP7 Cooperation projects: 0,3 patent 
applications per EUR 10 million funding) 
Indicator  2: Share  of  participating  firms  introducing  innovations  new  to  the  company  or  the  market  (covering  the  period  of  the 
project plus three years 

3 patent applications 
per EUR 10 million  
funding 

136 applications,  
52 awarded 

(0,3 per EUR 10 
million  funding) 

Actual results 

3 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Baseline 

New approach 

Baseline 

New approach 

Indicator 3: Number of joint public-private publications 

Actual results 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 
620 

Target for Horizon 
2020 

to be developed 

Target for 
Horizon2020 

is being finalised  

Budget line 08 02 02 01 (RTD) 

DB 2019 

Output (no.) 

EUR million 

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Budget line 08 02 07 33 (BBI JU) – Support expenditure 
Budget line 08 02 07 34 (BBI JU) 
Subtotal 
of which, Climate-related expenditure 

Budget line 09 04 02 01 (C-NECT) 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Budget line 09 04 07 31 (ECSEL JU) – Support expenditure 
Budget line 09 04 07 32 (ECSEL JU) 
Subtotal 
of which, Climate-related expenditure 

Grants 
Prize 
Procurement 
Financial instruments 
Experts 

Budget line 02 04 02 01(GROW) 

85 
(1) 
3 

389 
3 
2 

40 

3 
1 
1 

532,2 
(5) 
0,5 

2 

534,7 
307 
0,4 
20,0 
20,4 
0 

739,2 
7,4 
11,6 

5,4 

763,7 
0 

2,0 
188,0 
190,0 
0 

140,7 

13,5 
7 
1,5 

60/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Output 

Other (Delegation Agreement ESA) 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

DB 2019 

Output (no.) 

EUR million 

1 

31 
193,7 
35 
1702,5 
342,0 

Justification of changes to the financial programming and/or to the performance information 
The interim evaluation of Horizon 2020 found that 94% of consortia intend to bring their results to the market. This is a promising 
indication, even though no data is yet available for this indicator. 

The Prize included in the table “expenditure related outputs” will be part of the Work Programme 2019 but will only be awarded 
and committed after 2019. It is mentioned here only for information in line with the requirement of article 138(2) of the financial 
regulation. The corresponding amount is not included in the total of the 2019 expenditure related outputs. 

Subject  to  adoption  of  the  relevant  legal  base,  EUR  30.0  million  would  be  transferred  in  2018  from  09  04  02  01  to  09  03  04 
(WiFi4EU) and returned to 09 04 02 01 in 2019-2020. 

Since  the  indicator  2  &  3  are  new  and  there  are  currently  no  comparable  data  for  FP7,  the  target  and  the  milestone  will  be 
established on the basis of the FP7 ex-post evaluation studies and/or the first significant project results under Horizon 2020. 

Specific Objective 6: Industrial leadership - enhancing access to risk finance for investing in research and innovation 
Indicator 1: Total investments mobilised via debt financing and Venture Capital investments 

Baseline 

New approach 

2014 

2015 

2016 

2017 
8 

2018 

2019 

Milestones foreseen 

Actual results 

17bn 

22 bn 

32 bn 

Target for Horizon 
2020 

EUR 15 bn 

Indicator 2: Number of organisations funded and amount of private funds leveraged 

Baseline 

2014 

2015 

Number of organisations 
funded: New approach 

Amount of private funds 
leveraged: New approach 

Expenditure related outputs 

Milestones foreseen 
2016 

2017 
2 000  

Actual results 

793 

4051 

10484 
15bn 

7,2 bn 

10,5 bn 

15,5 bn 

Actual results 

2018 

2019 

Target for Horizon 
202045 

5 000  

EUR 35 bn 

Output 

Draft Budget 2019 

Number 

EUR million 

Budget line 08 02 02 02 (RTD) 
Grants 
Prizes 
Procurement 
Financial instruments (InnovFin EIB, SMEG & IFE - including 20 m EIC blending instrument) 
Experts 
Others 
Total 
of which, Climate-related expenditure 

2 
3 

1 

0,7 
434,4 

0,3 
435,4 
0 

Justification of changes to the financial programming and/or to the performance information 
Access to Risk finance benefited in 2016 of a frontloading by EFSI of up to EUR 750 million, transformed in September 2017 into 
a top-up of EUR 880 million for its guarantee  financial instrument for SMEs, which allowed a faster selection of more financial 
intermediaries. EFSI also contributes EUR 270 million to the Equity financial instrument. These results in more investments being 
made earlier, and thus more companies being funded and private funds leveraged than initially planned with the sole resources  of 
Horizon 2020. 

Specific Objective 7: Industrial leadership - increasing innovation in SMEs 
Indicator 1: Share of participating SMEs introducing innovations new to the company or the market (covering the period of the 
project plus three years) 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 

2017 

2018 

2019 

2016 
20 % 

Actual results 

Target for Horizon 
2020 

50 % 

61/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Indicator 2: Growth and job creation in participating SMEs 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 
2017 

2016 

Actual results 

2018 

2019 
to be developed 

Target for Horizon 
2020 

to be developed 

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others (mainly Eurostars 2) 
Subtotal 
of which, Climate-related expenditure 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

Budget line 08 02 02 03 (RTD) 

Draft Budget 2019 

Number 

EUR million 

Budget line 02 04 02 03 (GROW) 

4 

1 
1 

104 
4 
4 

0,9 

0,2 
45 
46,1  
0 

43,2 
0,2 
3,1 

46,5 
0 
92,3 
0 

Justification of changes to the financial programming and/or to the performance information 

Since the indicator 2 is new and there are currently no comparable data for FP7, the target and the milestone will be established on 
the basis of the FP7 ex-post evaluation studies and/or the first significant project results under Horizon 2020. 

Specific Objective 8: Societal challenges - improving the lifelong health and wellbeing of all 
Indicator 1: Publications in peer-reviewed high impact journals in the area of health and wellbeing 

Baseline 
(FP7, January 2017) 

42 publications per EUR 
10 million funding 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

2019 
On average, 20 

130 publications  

Actual results 

722 publications 
2,8 per EUR 10 million 

Indicator 2: Patent applications and patents awarded in the area of health and wellbeing 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Indicator 3: Number of prototypes and testing activities 

Actual results 

14 patent applications 

28 patent applications 
19 patents awarded 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

2019 
to be developed 

Indicator 4: Number of joint public-private publications 

Actual results 

Milestones foreseen 

Baseline 

New approach 
(FP7: 2 patent 
applications per EUR 10 
million funding)  

Baseline 

New approach 

Baseline 

New approach 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

196 

Target for Horizon 
2020 

On average, 20 per  
EUR 10 million 
funding 

Target for Horizon  
2020 

applications per  
EUR 10 million 
funding 

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

is being finalised 

62/555 

On average 2  On average, 2 patent 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Expenditure related outputs 

Output 

Budget line 08 02 03 01 (RTD) 

DB 2019 

Output (no.) 

EUR million 

Grants  
Prizes 
Procurement 
Financial instruments (Fast-track to innovation) 
Experts 
Others  (EDCTP2:  108,  subscription  to  HFSPO  +  grant  to  identif.  benef:  5,5;  RIA 
grants without call / in case of Public Health Emergencies: 10) 
Subtotal 
of which, Climate-related expenditure 
Budget line 08 02 07 31 (IMI 2JU) – Support expenditure 
Budget line 08 02 07 32 (IMI 2JU) 
Subtotal 
of which, Climate-related expenditure 

Budget line 09 04 03 01 (CNECT) 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others5 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

95 

1 
N/A 
N/A 

N/A 

146 

10 

531,7 

1,5 
14,8 
2 

123,5 

673,5 
92 
5,4  
256,1  
261,5 
0 

160,8 

1,8 

1,3 

163,9 
0 

1098,9 
92 

Justification of changes to the financial programming and/or to the performance information 
Since the indicator 3 & 4 of any societal challenges are new and there are currently no comparable data for FP7, the target and the 
milestone  will  be  established  on  the  basis  of  the  FP7  ex-post  evaluation  studies  and/or  the  first  significant  project  results  under 
Horizon 2020. 

Specific Objective 9: Societal challenges - securing sufficient supplies of safe, healthy and high quality food and other bio-based 
products,  by  developing  productive,  sustainable  and  resource-efficient  primary  production  systems,  fostering  related  ecosystem 
services and the recovery of biological diversity, alongside competitive and low-carbon supply, processing and marketing chains 
Indicator 1: Publications in peer-reviewed high impact journals in the area of food security 

Baseline 
(FP7,January 2017) 

2014 

2015 

Milestones foreseen 
2016 

2017 

23 publications per  EUR 
10 million funding 

Actual results 

180 publications 
1,2 per EUR 10 million 

Indicator 2: Patent applications and patents awarded in the area of food security 

Baseline 

2014 

2015 

Milestones foreseen 
2016 

2017 

New approach  
(FP7: 1 patent applications 
per EUR 10 million 
funding) 

Indicator 3: Number of prototypes and testing activities 

Actual results 

10 patent applications 
9 patents awarded 

Milestones foreseen 

2018 

2019 
On average, 
20 

2018 

2019 
On average, 2 

2014 

2015 

2016 

2017 

2018 

2019 

Baseline 

New approach 

Baseline 

New approach 

Indicator 4: Number of joint public-private publications 

Actual results 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

62 

Target for Horizon 
2020 

On average, 20 
publications per EUR 
10 million funding 

Target for Horizon 
2020 

On average, 2 patent 
applications per  EUR 
10 million funding  

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

Is being finalised 

63/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Budget line 08 02 03 02 (RTD) 

DB 2019 

Output (no.) 

EUR million 

29 

171,9 

Up to 30  

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Budget line 08 02 07 33 (BBI JU) – Support expenditure 
Budget line 08 02 07 34 (BBI JU)  
Subtotal 
of which, Climate-related expenditure 

0,7 
5 
177,6 
163 
2,1 
112,4 
114,5 
114,5 

282,0 

0,1 
5,0 
287,1 
149,2 
577,1 
426,7 

Target for Horizon 
202045 
On average, 20 
publications per  
EUR 10 million 
funding 

Target for Horizon  
2020 

On average, 2 patent 
applications per EUR 
10 million funding 

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

Is being finalised 

Budget line 05 09 03 01 (AGRI) 

54 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others - PRIMA 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

Specific  Objective  10: Societal  challenges  -  making  the  transition  to  a  reliable,  affordable,  publicly  accepted,  sustainable  and 
competitive  energy  system,  aiming  at  reducing  fossil  fuel  dependancy,  in  the  face  of  increasingly  scarce  resources,  increasing 
energy needs and climate change 
Indicator 1: Publications in peer-reviewed high impact journals in the area of secure, clean and efficient energy 

Baseline 
(FP7, January 2017) 

2014 

2015 

Milestones foreseen 
2017 

2016 

2018 

2019 
20 

14 publications per  EUR 
10 million funding 

Actual results 

183 publications 
0,75 per EUR 10 million 

Indicator 2: Patent applications and patents awarded in the area of secure, clean and efficient energy 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

2019 
On average,  2 

Indicator 3: Number of prototypes and testing activities 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 
74 patent applications 
38 patents awarded 

Milestones foreseen 

Actual results 

Milestones foreseen 

Indicator 4: Number of joint public-private publications 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

71 

Indicator 5: Share of the overall Energy challenge funds allocated to the following research activities: renewable energy, end-user 
energy-efficiency, smart grids and energy storage activities 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 

2017 

2018 

2019 

2016 
85 % 

Actual results 

Target 2020 

85 % 

64/555 

Baseline 

New approach  
(For FP7:2 patent 
applications per  EUR 10 
million funding)  

Baseline 

New approach 

Baseline 

New approach 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

91 %47 

94 % 

94 % 

87.9% 

Output 

Budget line 08 02 03 03 (RTD) 

DB 2019 

Output (no.) 

EUR million 

Expenditure related outputs 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 

Budget line 08 02 07 37 (FCH 2 JU)– Support expenditure 
Budget line 08 02 07 38 (FCH 2 JU) 
Subtotal 
of which, Climate-related expenditure 

260 
(3) 
4 
1 

1 

283,6 
(3,2) 
3,5 
50 
0,3 
0,2 
337,6 
337,3 

1,7 
51,2 
51,2 
51,2 

288,7 

Budget line 32 04 03 01(ENER) 

41 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 

32,6 
6.8 
0.6 
52.6 
381,3 
381,3 
770,1 
770,1 
Because 3 Inducement Prizes with a total amount of EUR 3,2 million will be part of the Work Programme 2018-2019 but will only be awarded 
and committed in 2020, they are mentioned in the table Expenditure related outputs in order to fulfil the financial regulation requirements, but 
they are not included in the total. 

Total of the Specific Objective 
of which, Climate-related expenditure 

44 
1 

Specific  Objective  11: Societal  challenges  -  achieving  a  European  transport  system  that  is  resource-efficient,  climate-  and 
environmentally-friendly, safe and seamless for the benefit of all citizens, the economy and society 
Indicator 1: Publications in peer-reviewed high impact journals in the area of smart, green and integrated transport 

Baseline 
(FP7,January 2017) 

2,1 publications per  EUR 
10 million funding 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

Actual results 

55 publications 
0,2 per EUR 10 million 

2019 
20 

Target for Horizon 
2020 

On average, 20 
publications per EUR 
10 million funding 

Indicator 2: Patent applications and patents awarded in the area of smart, green and integrated transport 

Baseline 

New approach 
(For FP7: 1 patent 
applications per EUR 10 
million funding) 

2014 

2015 

2016 

Milestones foreseen 
2017 

2018 

2019 
On average, 2 

Actual results 

39 patent applications 
23 patents awarded 

Indicator 3: Number of prototypes and testing activities 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 
2017 

2016 

2018 

2019 

Actual results 

Indicator 4: Number of joint public-private publications 

Baseline 

New approach 

2014 

2015 

Milestones foreseen 
2017 

2016 

2018 

2019 

Actual results 

35 

Target for Horizon 
202045 

On average, 2 patent 
applications per  EUR 
10 million funding 

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

Is being finalised 

47 For this calculation, signed grant agreements as well as main-listed proposals have been considered as projects. Analysis for bottom-up topics has been done at 
project level. As the counting of FCH has not been clarified in the Declaration, it is counted half for the 85% target. 'Other Actions' (e.g. procurements, grants to 
named beneficiaries) are not included in this analysis. 

65/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Expenditure related outputs 

Output 

Budget line 08 02 03 04 (RTD) 

DB 2019 

Output (no.) 

EUR million 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Budget line 08 02 07 35 (Clean Sky 2 JU) – Support expenditure 
Budget line 08 02 07 36 (Clean Sky 2 JU) 
Subtotal 
of which, Climate-related expenditure 
Budget line 08 02 07 37 (FCH 2 JU) – Support expenditure 
Budget line 08 02 07 38 (FCH 2 JU) 
Subtotal 
of which, Climate-related expenditure 

Budget line 06 03 03 01 (MOVE) 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others (FTI, ELENA, Smart Cities) 
Subtotal 
of which, Climate-related expenditure 
Budget line 06 03 07 31 (SESAR 2JU) – Support expenditure 
Budget line 06 03 07 32 (SESAR 2JU) 
Subtotal 
of which, Climate-related expenditure 
Budget line 06 03 07 33 (Shift2Rail) – Support expenditure 
Budget line 06 03 07 34 (Shift2Rail) 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

70 
1 
1 

12 

3 

248,9 
3,5 
0,1 

0,4 

252,9 
199,2 
4,6 
278,7 
283,3 
174 
0,9 
28,4 
29,3 
10,3 

48,1 

3 

1 
17,3 
69,4 
40,1 
3,3 
106,7 
110,0 
66,0 
1,6 
76,5 
78,1 
48,4 
822,8 
538,0 

Specific Objective 12: Societal challenges - achieving a resource - and water - efficient and climate change resilient economy and 
society,  protection  and  sustainable  management  of  natural  resources  and  ecosystems  and  a  sustainable  supply  and  use  of  raw 
materials, in order to meet the needs of a growing global population within the sustainable limits of the planet's natural resources 
and ecosystems 
Indicator 1: Publications in peer-reviewed high impact journals in the area of climate action, resource efficiency and raw materials 
Milestones foreseen 

Baseline 
(FP7, January 2017) 

2014 

2015 

2016 

2017 

2018 

2019 
On average, 20 

27 publications per  EUR 
10 million funding 

Actual results 
167 publications 
1.3 per EUR 10 million  

Indicator 2: Patent applications and patents awarded in the area of climate action, resource efficiency and raw materials 

Baseline 

New approach 
(For FP7: 0,3 patent 
applications per  EUR 10 
million funding) 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

On average 2  

Indicator 3: Number of prototypes and testing activities 

Baseline 

New approach 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

Actual results 
22 patent applications 
9 patents awarded 

Milestones foreseen 

Target for Horizon 2020 

On average, 20 
publications per  EUR10 
million funding 

Target for Horizon 
2020 

On average, 2 patent 
applications per EUR 
10 million funding 

Target for Horizon 
2020 

to be developed  

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Indicator 4: Number of joint public-private publications 

Baseline 

New approach 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 

69 

Target for Horizon 
2020 

Is being finalised 

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

Budget line 08 02 03 05 (RTD) 

DB 2019 

Output (no.) 

EUR million 

Budget line 02 04 03 01 (GROW) 

44 

1 
1 
4 

10 

1 

1 
1 

295,4 

10 
0,3 
6,6 
312,3 
233.7 

84,6 

0,6 

0,1 
0,01 
85,3 
33,0 
396,9 
266,7 

Specific Objective 13: Societal challenges - fostering a greater understanding of Europe, provide solutions and support inclusive, 
innovative and reflective European societies in a context of unprecedented transformations and growing global interdependencies 
Indicator 1: Publications in peer-reviewed high impact journals in the area of inclusive, innovative and reflective societies 

Baseline 
(January 2017) 

10 publications per EUR 
10 million funding 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

Actual results 

25 publications 
0,6 per EUR 10 million 

2019 
On average, 20 

Target for Horizon 
2020 

On average, 20 
publications per EUR 
10 million funding 

Indicator 2: Patent applications and patents awarded in the area of inclusive, innovative and reflective societies 

Baseline 

2014 

2015 

Not applicable (Based on the experience from the 
implementation of FP7, no patent is expected 
under this Specific Objective). 

Indicator 3: Number of prototypes and testing activities 

Milestones foreseen 
2017 

2016 

2018 

2019 

Target for Horizon 
2020 

Actual results 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Baseline 

New approach 

Baseline 

New approach 

Indicator 4: Number of joint public-private publications 

Actual results 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

20 

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

Is being finalised 

Expenditure related outputs 

Output 

Grants 
Prizes 

Budget line 08 02 03 06 (RTD) 

DB 2019 

Output (no.) 

EUR million 

46 
2 

98,8 
3,5 
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Output 

DB 2019 

Output (no.) 

EUR million 

Procurement 
Financial instruments 
Experts 
Others (including 17 million of a Specific Grant Agreement - COST contribution) 
Subtotal 
of which, Climate-related expenditure 

Budget line 09 04 03 02 (C-NECT) 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others (COST Contribution) 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
of which, Climate-related expenditure 

8 

2 
4 

30 

8,8 

1,1 
17,8 
130,0  
0 

46,8 

1,1 

0,35 

48,2 
0 
178,2 
0 

Specific Objective 14: Societal challenges - fostering secure European societies in a context of unprecedented transformations and 
growing global interdependencies and threats, while strengthening the European culture of freedom and justice 
Indicator 1: Publications in peer-reviewed high impact journals in the area of secure societies 

Baseline 
(FP7, January 2017) 

1 per EUR 10 million 
funding 

2014 

2015 

2016 

Milestones foreseen 
2017 

Actual results 
37 publications 
0,6 per EUR 10 million 

Indicator 2: Patent applications and patents awarded in the area of secure societies 

2018 

2019 
On average, 20 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

2019 
On average 2 

Actual results 

2 patent applications 
3 patents awarded 

Milestones foreseen 

Indicator 3: Number of prototypes and testing activities 

2014 

2015 

2016 

2017 

2018 

2019 
to be developed 

Actual results 

2 

Indicator 4: Number of joint public-private publications 

Baseline 

New approach 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 

26 

Baseline 

New approach 

Baseline 

New approach 

Target for Horizon 
2020 

On average, 20 per 
EUR 10 million 
funding 

Target for Horizon 
2020 

On average, 2 per 
EUR 10 million 
funding 

Target for Horizon 
2020 

to be developed 

Target for Horizon 
2020 

Is being finalised 

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 

Grants 
Prizes 

Budget line 09 04 03 03 (C-NECT) 

38 

DB 2019 

Output (no.) 

EUR million 

57,6 

0,5 

0,24 

58,3 
0 

Budget line 18 05 03 01 (HOME) 

89 

173,2 

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Output 

Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 
Total of the Specific Objective 
Of which, Climate-related expenditure 

DB 2019 

Output (no.) 

EUR million 

5 

400 
1 

2 

0,5 
1 
176,6 
16,8 
234,9 
16,8 

Specific Objective 15: Spreading excellence and widening participation - fully exploiting the potential of Europe's talent pool and 
to ensure that the benefits of an innovation-led economy are both maximised and widely distributed across the Union in accordance 
with the principle of excellence 
Indicator 1: Evolution of the publications in high impact journals in the relevant research fields 

Baseline 

New approach 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

Actual results 

2019 
to be developed 

Target for Horizon 
2020 

to be developed 

Expenditure related outputs 

Output 

Budget line 08 02 04 (RTD) 
Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others (WIRE, COST JPI UE) 
Subtotal 
of which, Climate-related expenditure 

Draft Budget 2019 

Number 

EUR million 

59 

2 

113,2 

0,2 
15,7 
129,1  
0 

Specific Objective 16: Science with and for society  - building effective cooperation between science and society, to recruit new 
talent for science and to pair scientific excellence with social awareness and responsibility 
Indicator 1: Number of institutional change actions promoted by the programme 

Baseline 

New approach 

2014 

2015 

2016 

2017 
7 

2018 
16 

2019 
27 

Milestones foreseen 

Actual results 

Target for Horizon 
2020 

100 
(cumulative figure) 

Expenditure related outputs 

Output 

Grants 
Prizes 
Procurement 
Financial instruments 
Experts 
Others 
Subtotal 
of which, Climate-related expenditure 

Budget line 08 02 06 (RTD) 

Output (no.) 

EUR million 

DB 2019 

16 
1 
7 

2 
2 

61,1 
0,3 
5,1 

1 
0,9 
68,4  
4 

Specific  Objective  17: Non-Nuclear  Direct  Actions  of  the  Joint  Research  Centre  -  providing  customer-driven  scientific  and 
technical support to Union policies, while flexibly responding to new policy demands 
Indicator  1: Number  of  occurrences  of  tangible  specific  impacts  on  European  policies  resulting  from  technical  and  scientific 
support provided by the Joint Research Centre 

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Baseline2013 

248 

2014 
215±5 

2015 

Milestones foreseen 
2017 
2016 
330±10 

Actual results 

Indicator 2: Number of peer reviewed publications in high impact journals 

275 

305 

376 

339 

2018 

2019 

Baseline 
(2010 – 2013) 

460 

2014 
460±10 

2015 

2016 

2017 
500±15 

2018 

2019 

Milestones foreseen 

465 

518 

Actual results 
553 

515 

Target 202048 

>330±15 

Target 2020 

>500±20 

Expenditure related outputs 

Output 

Budget line 10 02 01  
Policy support deliverables 
Total 
of which, Climate-related expenditure 

DB 2019 

Output (no.) 

EUR million 

900 

38,2 
38,2,  
11,5 

Justification of changes to the financial programming and/or to the performance information 
The indicator 1, policy support impact indicator counts cases where JRC's work has policy-impact by incorporation of scientific and 
technical knowledge into policy proposals or by supporting the implementation of EU policies. Impacts are identified in the JRC's 
annual evaluation exercise performed by an internal peer group of experts on the basis of an established evaluation methodology 
within an integrated management system applying ISO standards. The milestones and the long-term target for this indicator reflect 
two opposing  trends: an upward  and fluctuating evolution  regarding the  total  number of policy-impacts due to JRC increasingly 
gearing its research to support the immediate needs of the Commission, and a downward trend in resources. 

The  indicator  2,  scientific  productivity  indicator  counts  the  peer  reviewed  articles  published  within  a  given  year  in  journals,  the 
titles of  which are listed in the Thomson-Reuters Science  Citation Index Expanded (SCI-e) and/or Social Science Citation Index 
(SSCI). This indicator reflects the degree to which JRC publishes the results of its research. 

JRC's output is reported as the number of policy support deliverables (for non-nuclear actions) from the JRC's Multi-annual Work 
Programme 2018-2019, which are planned to be released by the JRC in the course of 2019. A policy support deliverable refers to 
products  and  services  for  EU  policy-makers  resulting  from  its  direct  research  activities,  such  as  scientific  and  policy  reports, 
reference  materials,  validated  methods,  technical  systems,  scientific  information  systems  and  databases.  Since  the  JRC's  Multi-
annual Work Programme is a rolling plan reflecting Commission needs, the number of planned deliverables is subject to alignment 
of  JRC's  activities  with  new  support  requests.  The  EU  added  value  of  JRC’s  policy  support  work  has  been  embodied  by  1 225 
policy support outputs released by the JRC in 2017.  

The  end  of  the  JRC  contribution  to  EFSI  will  restore  the  financial  programming  to  the  Horizon  2020  levels  in  2019.  This  will 
increase  the  number  of  outputs  in  the  long  term,  although  it  will  have  a  limited  impact  in  the  first  year  (2019),  as  most  outputs 
require time to materialise and are largely dependent on the human resources available. If necessary, the target may be revised in 
the context of the Draft Budget 2020. 

Specific  Objective  18: The  European  Institute  of  Innovation  and  Technology  -  integrating  the  knowledge  triangle  of  higher 
education, research and innovation and thus to reinforce the Union's innovation capacity and address societal challenges 
Indicator  1: organisations  from  universities,  business  and  research  integrated  in  the  Knowledge  and  Innovation  Communities 
(KICs) 

Baseline 
(2010 - 2012) 

200 
(with 3 KICs) 

2014 
240 

550 

2015 
450 

800 

Milestones foreseen 
2016 
500 

2017 
800 (revised) 

Actual results 

1097 

1156 (preliminary result) 

2018 

2019 

Target for Horizon  
2020 

1200 (revised) 

Indicator 2: collaboration inside the knowledge triangle leading to the development of innovative products, services and processes 

Baseline 
(2010 - 2012) 

33 start-ups and spin-offs 

2014 
30 

181 

2015 
280 

250 

Milestones foreseen 

2016 
400 

2017 
500  

Actual results 

286 

339 (preliminary) 

2018 

2019 

Target 2020 
(cumulative figures) 
600 start-ups and 
spin-offs 

48 Milestone and long term target for this indicator reflect two opposing trends: a slightly upward and fluctuating evolution regarding the total number of policy 
impacts identified on the one hand, and a continuous predictable downward trend in resources on the other hand. Policy support impact indicators count cases where 
JRC's support becomes part or even the basis of European policy, i.e. cases where JRC’s work helped putting Commission priorities on a solid and robust scientific 
evidence base. Impacts are identified in the JRC's annual evaluation exercise performed by an internal peer group of experts on the basis of an ISO certified 
evaluation methodology. 

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210 innovations 

Actual results 

6 000 innovations 

300 

800 

1500 

2200 

1 184 

2 145 

3 904 

Expenditure related outputs 

Budget line 15 03 05 (EAC) 
Others 
Subtotal 
of which, Climate-related expenditure 

Output 

Draft Budget 2019 

Number 

EUR million 

456,1 
162  

5. Programme contribution to the Sustainable Development Goals 

The EU is committed to development that meets the needs of the present without compromising the ability of future generations to 
meet their own needs. A life of dignity for all within the planet's limits that reconciles economic prosperity and efficiency, peaceful 
societies,  social  inclusion  and  environmental  responsibility  is  at  the  essence  of  sustainable  development.  To  create  from  these 
challenges opportunities for new businesses and new jobs, a strong engagement in research and innovation is necessary.  The EU 
Framework  Programme  for  Research  and  Innovation,  Horizon  2020,  addresses  many  Sustainable  Development  Goals  (SDGs) 
which is also expressed in the expectation to contribute at least 60% of its budget to sustainable development.  

The  tracked  expenditure  of  the  Horizon  2020  budget  for  the  signed  Grant  Agreements  indicates  a  contribution  of  69%  to 
Sustainable Development.  In  light of the EC’s initiative  to link its activities  with the UN’s SDGs, the tracking  methodology  has 
been  adjusted  in  2017  to  take  into  account  the  definition  of  sustainable  development  as  established  by  these  goals.  This  led  to 
higher coefficients for areas like health or education 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Financial instruments 
Horizon 2020 Budget (€ billion) 
Expected amount of private funds leveraged (€ billion) 
In 2014, the European Commission and the European Investment Bank Group (EIB and EIF)  launched a  new generation of EU 
financial instruments and advisory services to help innovative firms access finance more easily. It is expected that the "InnovFin – 
EU Finance for Innovators" products will make available more than EUR 24 billion of financing for research and innovation (R&I) 
to small, medium and large companies and the promoters of research infrastructures. This finance is expected to support up to €48 
billion of final R&I investments. 

Guarantees 
1 
17 

Equity 
0,3 
1.8 

Total 
2,7 
33 

Debt 
1 
12 

FoF 
0,2 
1,6 

"InnovFin – EU Finance for Innovators" consists of a range of tailored products – from guarantees to intermediaries that lend to 
SMEs,  to  direct  loans  to  enterprises  -  helping  support  from  the  smallest  up  to  the  largest  R&I  projects  in  the  EU  and  countries 
associated to Horizon 2020.  InnovFin guarantees and loans will be backed by funds set aside under Horizon 2020 and by the EIB 
Group for the purpose of supporting R&I investment, which by nature is riskier and harder to appraise than tangible investments. 
All  are  demand-driven  instruments,  with  no  prior  allocations  between  sectors,  countries  or  regions.  These  debt  instruments  are 
complemented by a suite of equity instruments managed by the EIF. In total, some EUR 2.7 billion out of Horizon 2020's nearly 
EUR 77 billion budget support these financial instruments. 

The EIB Group consists of the European Investment Bank  and the European Investment Fund (EIF). The European Investment 
Bank  provides  loans  to  medium-size  and  larger  companies,  as  well  as  guarantees  to  banks  lending  to  them.  The  EIF  provides 
guarantees to banks lending to small and medium-sized firms and – at a later stage – invest in venture capital funds, which provide 
startups and fast-growing firms with equity. 

1.  Debt finance (Loans Service for R&I ; SME & small midcaps R&I Loans Service; SME Initiative) 
Loans  are  provided  through  the  EIB  to  large  and  mid-size  companies,  and  to  research  infrastructures.  In  addition,  thematic 
products for energy and infectious diseases have been developed to address specific needs in these areas. The total foreseen budget 
for  loans  over  Horizon  2020  amounts  to  EUR  1  billion.  This  is  expected  to  generate  around  EUR  12  billion  of  loans;  the 
additional financing coming from commercial actors (the "leverage effect").  
2.  Equity finance (Early stage finance for innovative enterprises; Pilot facility for technology transfer) 
On  the  equity  side  (i.e.  financing  own  capital  for  companies),  the  financial  instruments  make  available  venture  capital  for  the 
early stages of R&I-driven SMEs & small mid-caps. The overall budget for Horizon 2020 amounts to EUR 0,5 billion. This is 
done  through  the  EIF,  which  supports  risk  capital  funds  that  invest,  on  a  predominantly  cross-border  basis,  in  individual 
enterprises.  
3.  Accompanying measures  

a.  Guarantees  provided  to  local  financial  intermediaries  (mostly  banks)  through  the  EIF  are  specifically  designed  for 
innovative SMEs and small mid-caps. The overall budget over Horizon 2020 is EUR 1 billion. Because of the high demand for 
this type of support, the EFSI fund has stepped in with a "top-up" of EUR 880 million, which allows a faster implementation. More 

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than  100  financial  intermediaries  are  currently  implementing  these  guarantees.  With  the  leverage  effect,  they  are  expected  to 
generate over EUR 17 billion of financing to innovative SMEs and small mid-caps.)  

b.  Co-investment by Business Angels 

EIF  thus  invests  in  a  wide  range  of  financial  intermediaries,  including  those  cooperating  with  business  angels.  The  funds 
invested in provide the enterprises with early-stage venture capital and quasi-equity (including mezzanine capital). For companies 
that need investment in both the early stage and the growth stage, funding can be provided from InnovFin as well as from COSME's 
growth-stage  equity  facility;  EFG.  There  is  also  a  pilot  facility  which  makes  co-investments  with  business  angels  in  the  ICT 
domain. 

c.  Pan-European VC Fund-of-Funds 

The  Pan-European  VC  Fund-of-Funds  is  a  priority  action  under  the  Commission's  Capital  Markets  Union  (CMU),  and 
complements other actions to boost VC in Europe, notably  proposed expansion of the European VC Funds  (EuVECA) regulation 
and proposals to address the bias in the tax system towards debt over equity. The EU will provide cornerstone investments of up to 
EUR 300 million in one or more independently managed VC Fund-of-Funds, up to a maximum budget of EUR 400 million for all 
Fund-of-funds.  The  selected  fund  manager(s)  must  raise  at  least  three  times  as  much  from  other  sources  (the  EU  investment  is 
capped at 25%). This means additional investments to VC of around EUR 1.6 billion, which is a major boost, as the total of VC 
funds  raised  last  year  in  the  EU  was  €5  billion.  The  EU  investment  combines  resources  from  Horizon  2020's  InnovFin  Equity 
scheme (up to €200 million), EFSI (up to €100 million) and COSME (where up to EUR 100 million is foreseen). The 2016 call for 
managers interested in applying to run the Pan-European VC Fund-of-Funds can be found on the EIF's website.  

7. Programme related additional information 
Expenditure related outputs not linked to a specific objective 

Output 

Budget line 08 02 05 (RTD) 
Others (e.g. Dissemination and EMPIR) 
Total 

Draft Budget 2019 

Number 

EUR million 

111,6 
111,6 

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HEADING 1A: Competitiveness for growth and jobs 

Euratom Research and Training Programme 
Lead DG: RTD 
Associated DGs: JRC 

I. Programme Overview 

What the programme is about ? 

The  Euratom  Research  and  Training  Programme  2019-2020  (‘Euratom  Programme’)  primary  aim  is  to  enhance  the  safety  of 
nuclear technologies by supporting research on all aspects of safety, for example: dealing with the ageing of nuclear power plants 
and  the  development  of  accident  management  strategies.  The  Euratom  Programme  provides  research  grants  to  Universities  and 
research laboratories through competitive calls for proposals, and funds research carried out by the Commission's Joint Research 
Centre  (JRC).  The  Euratom  Programme  also  supports,  to  the  extent  necessary  for  maintaining  safety  expertise  in  the  European 
Union, research for the assessment and demonstration of the safety aspects of future fission technologies. Euratom funded research 
should  also  reduce  risks  associated  with  radiation  exposures  from  industrial  or  medical  applications,  and  support  emergency 
preparedness in relation to accidents involving radiation. 

Other, equally important, tasks of the Euratom Programme will be advancing solutions for the management and disposal of spent 
fuel and radioactive waste, and for nuclear decommissioning. The Euratom programme provides scientific and technical support for 
the implementation of EU policy in the field of nuclear safeguards, non-proliferation, and nuclear security. Funding is also provided 
for the basic research necessary for the development of reference measurements, materials and data. The substantial increase in the 
deployment of nuclear fission technologies worldwide requires collaboration with, and technical support to, the main international 
institutions, such as IAEA, in the field of nuclear safety and particularly in the field of nuclear safeguards by developing techniques 
and methods aiming at reducing nuclear security risks and for supporting nuclear non-proliferation efforts. 

In order to assure the living standards of European citizens in the future, the Euratom Programme focuses not only on safety aspects 
of  fission  technologies  but  also  on  the  development  of  fusion  energy.  Fusion  energy  is  a  future  possible  option  for  low  carbon 
electricity  production.  Its  feasibility  must  be  demonstrated  and,  if  found  to  be  a  viable  energy  source,  it  could  contribute 
significantly  to  the  well-being  of  future  generations.  Fusion  research  is  a  long-term  endeavour,  and  the  potential  deployment  of 
fusion power plants and their contribution to the decarbonisation of the energy mix in Europe cannot be realistically foreseen until 
the  latter  part  of  the  century.  However,  fusion  science  and  technology  development  has  now  reached  a  stage  where  one  can 
seriously plan the design of a demonstration reactor (a DEMO). Consequently, the Euratom Programme funds research  on fusion 
electricity  production,  which  includes  exploiting  existing  and  future  fusion  facilities,  especially  ITER,  to  assess  the  viability  of 
fusion.  Furthermore,  the  funding  covers  development  of  new  materials,  technologies  and  conceptual  design  activities,  which  are 
required to prepare for future fusion power plants. 
The  Euratom  Research  Programme  2019-202049  is  an  extension  of  the  2014-2018  Euratom  Programme  in  terms  of  research 
objectives and scope of supported activities. 

EU added value of the programme 

A key part of the European added value of the Euratom programme, as underlined by stakeholders, is the EU's ability to mobilise a 
wider  pool  of  excellence,  expertise  and  multi-disciplinarity  in  nuclear  research  than  individual  Member  States  could.  Through 
cooperative  research  and  innovation,  the  Euratom  programme  enables  a  Europe-wide  approach  to  the  improvement  of  nuclear 
safety and radiation protection in all areas of application. The Euratom programme also enables a broader coordination throughout 
Europe of education and training, the use of research infrastructures and international cooperation. This is of particular benefit to 
smaller Member States that can take advantage of economies of scale afforded by the Europe-wide pooling effect.  

The  Euratom  programme  also  provides  services  through  JRC  which  are  not  available  elsewhere.  JRC  provides  support  for 
standardisation,  open  access  for  EU  scientists  to  unique  nuclear  facilities,  training  activities  in  nuclear  sciences,  including 
safeguards,  forensics  or  decommissioning,  and  the  operation  of  the  Clearinghouse  on  Operational  Experience  Feedback.  JRC 
provides the Commission with scientific and technical support for preparing, implementing and monitoring EU policies in nuclear 
safeguards by supporting nuclear inspections of Member States’ facilities in compliance with international Treaties, nuclear safety 
and waste management, such as. monitoring the technical implementation of the Nuclear Directives (Safety, Waste and spent fuel, 
Basic  Safety  Standards),  and  radiation  protection  by  monitoring  and  measuring  the  radioactivity  on  the  environment.  Through 
Euratom membership of the Generation IV International Forum, JRC coordinates the European research effort on advanced reactor 
technology, covering contributions from the Euratom programme as well as from Member States. 

II. Programme Update 

Implementation status (2014-2017) 
An  amount  of  EUR  1 041  million  was  allocated  to  indirect  actions  of  the  Euratom  programme.  70%  was  assigned  to  fusion 
research,  while  30%  was  assigned  to  fission  research.  For  fusion  research,  the  Commission  awarded  in  2014,  following  an 

49 Under discussion in the Council – see Commission proposal COM(2017)698 

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independent evaluation, a 5 year grant to the EUROfusion consortium50 of national fusion laboratories and institutes51 to implement 
a European Joint Programme based on the fusion roadmap52. Regarding grants for fission research, following 3 calls for proposals, 
2000 applicants submitted 139 proposals requesting a EURATOM contribution of EUR 501 million. On this basis the Commission 
selected 48 projects with EUR 199 million of Euratom contribution in all areas concerning nuclear safety, waste management and 
radiation protection set by the Council Regulation establishing the Programme.  

The work programme of the JRC, implementing direct actions of the Euratom programme, is currently  distributed in 20 projects, 
after the  revamping of the programme  to prioritise  and increase its efficiency. They are  related to nuclear  safety  and  emergency 
preparedness (31%), nuclear security, safeguards and non-proliferation (28%), nuclear waste disposal and decommissioning (13%), 
reference materials and measurements (13%), knowledge management, education and training (12%) and non-energy applications 
of nuclear science (3%). 

Key achievements  

Indirect actions 
The Euratom programme is delivering key information and data of relevance for the future operation of ITER, the ground-breaking 
global  research  facility  under  construction  in  France.  By  validating  ITER  design  options  and/or  investigating  relevant  plasma 
scenarios and optimising plasma operation and control measures, Euratom research reduces costs and associated ITER construction 
and operation risks. Indirect actions in fusion research enabled tangible progress in the implementation of the Fusion Roadmap: the 
EUROfusion consortium achieved 96% of research milestones for 2014-16. EUROfusion also proved that it is generating scientific 
excellence in fusion research: the consortium’s researchers published more than 1000 peer-reviewed publications up to 2016 and 
half  of  the  100  most  cited  publications  in  magnetic  confinement  fusion  research  worldwide  came  from  them.  The  EUROfusion 
consortium  is  also  training  a  future  generation  of  fusion  specialists  -  in  2016  the  consortium  supported  756  PhD  students  and 
awarded  76  grants  to  highly  skilled  engineers  and  post-doc  fellows.  Moreover,  Euratom  funding  supports  joint  exploitation  of 
fusion research facilities in Europe by maintaining mobility of researchers (2869 between 2014 and 2016).  

In fission research, the Commission has selected 48 research projects addressing objectives set by the legislation. First reports show 
progress by fission projects in the three key areas of research (safety, waste management and radiation protection) with half of them 
having  a  safety  focus.  Euratom  projects  have  already  set  up  substantial  teams  of  researchers  (more  than  1200  people)  and  are 
reporting progress in reaching milestones. As confirmed by the interim evaluation, Euratom fission research focuses on challenges 
of importance to the public. The programme provides a balance between the  need to support the safety of nuclear technology in 
Europe  and  the  need  to  underpin  safety  in  the  future.  Euratom  waste  management  projects  help  to  better  understand  the  issues 
relevant to the effective management of radioactive waste in the EU, such as the safety of future geological disposal facilities, the 
conditioning of radioactive waste, the long-term behaviour of spent fuel in a repository and the clean-up of decommissioned sites. 
Euratom research on radiation protection, carried out by the CONCERT consortium implementing the European Joint Programme 
in this field, will lead to an improved knowledge of the effects of low doses of ionising radiation on people. This will translate into 
a more effective and safer use of radiation and radionuclides in medical diagnostic and therapeutic practices. Public consultation 
revealed that the programme is also important for research stakeholders and end-users of nuclear research – the nuclear industry, 
operators of power plants and safety authorities that account for 45% of participants in the research consortia.  

The  results  of  the  interim  evaluation  show  a  good  overall  level  of  efficiency  in  programme  management  (in  particular,  grant 
management and proposal evaluation in the case of indirect actions) and implementation by the Commission. The Commission is 
keeping its own administrative expenditure for indirect actions below the target of an average of 7% of the operational budget for 
2014-2018, and available data shows that the planned target of 6% for 2018 will be met. Simplification measures introduced since 
the  start  of  the  programme  have  greatly  improved  efficiency,  notably  for  the  time-to-grant  (TTG).  The  average  TTG  for  the 
Euratom 7th Framework Programme was 315 days, whereas it was 261 days for the 23 projects launched following the 2014-2015 
call, and decreased further to only 229 days for the 25 projects from the 2016-17 call. 

Direct actions:  
The  JRC  contributes  to  the  development  of  codes,  standards  and  test  methods  for  the  safety  analysis  of  nuclear  reactors  and 
provides reference data, software tools, and knowledge on the behaviour of nuclear fuel in normal and accidental conditions. JRC 
actions also support the assessment of ageing nuclear power plants for their long-term operation, contributing to ensuring the same 
safety level. 

JRC staff provided assessments of the Member States' Reports on the progress of implementation of their National Programmes for 
the safe and responsible management of radioactive waste and spent fuel. The outcomes of the assessments have been used in the 
preparation of the Commission Report on progress of implementation of Council Directive 2011/70/EURATOM and an inventory 
of  radioactive  waste  and  spent  fuel  present  in  the  EU  was  issued  in  May  2017.  The  main  outcomes  of  the  assessment  were 
discussed with the Member States in a dedicated workshop in November 2017. 

The direct actions in the area of nuclear safeguards support the EU’s strategic objective to reduce the risk of nuclear proliferation. 
For  this  purpose,  JRC  provides  new  safeguards  technologies  and  related  training  courses  for  Euratom  inspectors  to  ensure  an 
effective implementation of EU safeguards systems. Similar support is provided to the IAEA through the Commission’s safeguards 

50 Euratom programme contributes 55% of the EUROfusion consortium funding. 
51 EUROfusion consortium, for more information see https://www.euro-fusion.org/  
52  

‘Fusion Electricity – A roadmap to the realisation of fusion energy’, https://www.euro-fusion.org/eurofusion/the-road-to-fusion-electricity/  

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support programme. JRC also develops concepts and methodologies on nuclear non-proliferation to serve EU policies, which are 
also supporting the IAEA and the global non-proliferation regime.  

The EU High Level Scenario-Based Exercise on Nuclear Security was held in November 2016 at the JRC's facilities in Karlsruhe 
(Germany). In order to improve preparations for possible nuclear security event, the exercise focused on the unique characteristics 
of the European Union and its Member States. A follow up workshop was organised by the European Commission in Brussels on 
30  November  2017  with  participation  of  15  Member  States.  The  workshop’s  objective  was  to  identify  nuclear  security  training 
priorities for participating countries and to define possible actions to address existing gaps. 

All  JRC  activities  supported  by  the  Euratom  programme  have  scientific  excellence  as  a  major  objective.  In  2014-2017,  JRC 
scientists  published  820  articles  and  conference  contributions  in  peer  reviewed  periodicals,  217  articles  in  monographs  or  other 
periodicals, 18 books with JRC editorship and 17 PhD theses and about 830 technical reports, around 210 of them being used in the 
development  of  EU  policy.  The  JRC  organised  148  training  courses  for  professionals  and  students  from  Member  States  and 
Commission  departments.  In  addition,  JRC  delivered  reference  methods  and  measurements,  technical  systems  and  scientific 
databases.  Moreover,  the  JRC  allows  open  access  to  its  nuclear  research  infrastructures  and  offers  complementary  research 
possibilities to external users from EU Member States. A bibliographic study on the JRC publications shows that 15% of the JRC 
publications are among the top 10% most cited articles in the  nuclear field. Therefore, the performance achieved is ranking well 
amongst peer organisation in Europe and worldwide. 
Some examples of tangible specific support to the implementation of EU policies: 

  Support to the European Sustainable Nuclear Industrial Initiative (ESNII): JRC contributed to develop a strategic approach 
to Fast Reactors (FR) in Europe, to the creation of a new ESNII roadmap and the development of a joint  programming, 
performed  studies  in  the  area  of  core  safety,  provided  new  experimental  results  on  material  properties  of  FR  fuels,  and 
contributed to the compilation of a catalogue of thermos-physical & mechanical data of FR MOX fuel. 

  Enhancing  the  capability  to  detect  and  respond  to  illicit  trafficking  of  radioactive  and  nuclear  materials:  JRC  continues 
providing substantial support to EU MS, neighbouring countries and third countries to improve their capabilities to detect 
and respond to illicit trafficking of radioactive and nuclear materials.  

  Support  to  ISO  for  the  review  of  EN  ISO  11704  and  to  DG  ENER  and  monitoring  labs  for  the  measurement  of 

radioactivity in water.  

  Dissemination of knowledge for nuclear fuel safety assessments: JRC provided training for using the TRANSURANUS 
fuel performance code for scientists from safety authorities and research centres, as well as for professionals from nuclear 
industry in the EU.  

 

JRC  has  supported  DG  ENER  for  the  supervision  of  the  implementation  of  the  nuclear  safety  directive  (directive 
2009/71/EURATOM as amended by directive 2014/87/EURATOM). 

Evaluations/studies conducted 

Pursuant  to  Article  22  of  Regulation  (Euratom)  No  1314/2013  the  Commission  carried  out  in  2017  an  interim  evaluation  of  the 
2014-2018  Euratom  programme.  Its  report  (COM(2017)697)  sets  out  a  strategic  overview  of  the  evaluation  process  and  its 
responses  to  the  recommendations  of  the  independent  expert  groups.  The  accompanying  Commission  staff  working  documents 
(SWD(2017)426 and 427) provide more details on the evaluation with regard to relevance, efficiency, effectiveness and European 
added value.  
Key messages from evaluation are as follows: 

a)  Continue supporting nuclear research focused on nuclear safety, safeguards, security, waste management, radiation protection 

and development of fusion:  

The  interim  evaluation  concluded  that  the  Euratom  programme  is  highly  relevant  across  the  full  scope  of  activities,  including 
nuclear safety, security and safeguards, radioactive waste management, radiation protection and fusion energy. Actions at European 
level  in  nuclear  research  continue  to  be  instrumental  in  maintaining  and  using  the  highest  standards  of  safety,  security,  waste 
management and non-proliferation. Given the research results achieved so far there is no need to revise the current programme’s 
activities or mode of implementation for the two years 2019-2020 which are covered by the Commission proposal for extension of 
the current programme (COM(2017)698). 

b)  Further  improve,  together  with  beneficiaries,  the  organisation  and  management  of  the  European  Joint  Programmes  in  the 

nuclear field. 

The interim evaluation of the Euratom programme 2014-2018 showed that the introduction of the European Joint programme (EJP) 
co-fund  action  was  a  success.  The  EJP  instrument  is  designed  to  support  coordinated  national  R&I  programmes.  It  aims  at 
attracting  and  pooling  a  critical  mass  of  national  resources  on  Euratom  programme's  objectives  and  at  achieving  significant 
economies of scales by bringing together related Euratom resources to a joint effort. The independent group of experts running the 
evaluation  made  specific  recommendations  regarding  the  improvement  of  the  organisation  and  management  of  the  EJPs  in  the 
nuclear  field.  These  recommendations,  while  not  questioning  the  basic  structure  or  approach,  require  further  refinements  and 
evolution of the EJP in order for it to remain effective. 

c)  Continue  and  reinforce  the  Euratom  education  and  training  actions  for  developing  competencies  in  nuclear  field  which 

underpin all aspects of nuclear safety, security and radiation protection. 

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The interim evaluation  underlined the  importance of developing a  comprehensive  action for  maintaining and developing nuclear 
skills  in  Europe,  ensuring  at  the  same  time  synergies  with  the  EU  Framework  Programme’s  actions  supporting  education  and 
training.  In  this  context,  the  interim  evaluation  concluded  that  some  specific  changes  should  be  implemented  to  further  extend 
impacts of the Euratom programme in this field. The Euratom indirect actions in education and training should have more specific 
and measurable objectives. On the other hand, the Joint Research Centre (JRC) should continue and where possible enhance access 
to its research infrastructures and reinforce its education and training activities, in particular, hands-on practical training and work 
experience. The independent expert group proposed that students and researchers in the nuclear field are eligible for participation in 
the  Maria  Skłosowska-Curie  Actions,  which  provide  mobility  grants,  and  foster  career  development.  In  fusion  research,  the 
EUROfusion consortium should put more emphasis on training nuclear engineers and technologists for the next phase, the design of 
demonstration fusion power plant.  

d)  Further exploit synergies between Euratom programme and other thematic areas of EU Framework Programme in order to 
address cross-cutting aspects such as medical applications of radiation, climate change, security and emergency preparedness 
and the contribution of nuclear science 

The  interim  evaluation  concluded  that  the  Commission  should  aim  at  developing  joint  research  actions  on  radiation  protection 
aspects of medical practices as well as innovative nuclear medicines. Such research should not be developed by Euratom alone but 
supported  jointly  with  the  Health  part  of  the  EU  Framework  Programme.  The  Commission  should  also  seek  other  synergies 
between nuclear and non-nuclear activities and nuclear science applications such as security of energy supply, public involvement 
in  decision-making,  security  of  supply  of  medical  radioisotopes  and  nuclear  sciences  applications  in  support  of  the  sustainable 
development goals. 

e)  Further exploit synergies between direct and indirect actions of the Euratom programme 
The  interim  evaluation  recommended  that  the  Commission  should  implement  a  coherent  programming  of  the  direct  and  indirect 
actions  of  the  Euratom  programme  with  a  well-defined  governance  and  decision-making  processes.  This  will  help  achieving  a 
maximum synergy between the indirect and the direct actions and fully exploiting the potential for the highest efficiency within the 
programme and effectiveness of its results. 

Forthcoming implementation (2018-2019)  

Indirect actions: in October 2017, the Commission launched a final  call for proposals for the current Euratom programme with a 
deadline  of  September  2018. The  actions  proposed  for  funding  in  the  last  call  address  research  challenges  important  for  nuclear 
safety, waste management and radiation protection. While some of the actions are a continuation of the research carried out in the 
past (e.g. modelling for severe accidents), a new approach is put forward in the form of a proposal for a European Joint Research 
Programme (EJP) for the management and disposal of radioactive waste. In addition, the Euratom work programme 2018 places 
emphasis on research  for decommissioning of  nuclear installations as  well as the promotion of innovation, education & training, 
and access to research infrastructures. The Commission will adopt the Work Programme 2019-2020 following the adoption of the 
basic act by the Council. 
Direct actions: following the trend already initiated with the new JRC Strategy 203053, the JRC will reinforce in 2018 actions in the 
area of knowledge management, education and training mainly in nuclear safety. The resources dedicated to this area will increase 
from 9% average in the period 2014-2018 to 13% in 2019-2020. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

COM/2017/0698  final  -  Proposal  for  a  COUNCIL  REGULATION  on  the  Research  and  Training 
Programme  of  the  European  Atomic  Energy  Community  (2019-2020)  complementing  the  Horizon  2020 
Framework Programme for Research and Innovation 

Period of 
application 

Reference Amount 
(EUR million) 

2019 - 2020 

770,2 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

132,8 
240,8 
373,6 

140,6 
256,4 
397,1 

Total 
Programme 
273,4 
497,3 
770,6 

2017 

2018 

CA 
340,795 

Impl. Rate 
100,00 % 

PA 
340,573 

Impl. Rate 
94,13 % 

CA 
355,677 

Impl. Rate 
35,37 % 

PA 
313,322 

Impl. Rate 
16,90 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal  and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

85,77 % 

33,45 % 

16,75 % 

93,98 % 

379,189 

412,269 

373,525 

370,192 

53 https://ec.europa.eu/jrc/sites/jrcsh/files/jrc-strategy-2030_en.pdf  

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

Contribution to Europe 2020 priorities 

Priority 

Smart Growth (innovation, education, digital society) 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

240,4 

256,2 

The Commission implements and monitors the gender dimension as follows: 
Indirect Actions: The Commission aims at improving gender balance in decision-making, in order to reach the target of 40% of the 
under-represented  sex  in  panels  and  groups  and  of  50  %  in  advisory  groups.  To  date,  women  make  up  19%  of  experts  in  call 
evaluation panels and 52 % in advisory groups.  
Direct Actions: JRC manages the European Human Resources Observatory for the Nuclear Energy Sector (EHRO-N) in order to 
ensure the availability of data on human resources. In its Strategy 2030, the JRC declares itself as an equal opportunities employer 
committed to the objective of being fully gender balanced. This has been further developed in 2017 by issuing a gender balance 
strategy. The JRC is located in five countries. Thus, attracting and retaining the best talent necessitates promoting the attractiveness 
of these  sites. The JRC  will launch awareness campaigns in 2018 with a  focus on inclusiveness amongst  staff and  management. 
Measures  allowing  personnel  to  combine  better  their  private  and  professional  life  will  be  further  enhanced  and  stimulated. 
Individual  coaching  and  mentoring  support  will  be  provided  to  female  colleagues  with  development  needs  and  management 
aspirations.  The  JRC  has  set-up  a  talent  management  programme  in  order  to  provide  career  guidance  and  training  to  female 
colleagues.  In  2018  a  leadership  training  programme  will  be  offered  to  the  recently  appointed  managers  addressing  the  specific 
needs of the female colleagues.  

4. Performance information 
General objectives 

General Objective 1: To pursue nuclear research and training activities with an emphasis on continuous improvement of nuclear 
safety, security and radiation protection, notably to potentially contribute to the long-term decarbonisation of the energy system in a 
safe, efficient and secure way. 
Indicator 1: Reduction of greenhouse gas emissions at EU level compared to 1990 

Baseline 

2014 

2015 

23 % 

Specific objectives 

Milestones foreseen 

2017 

2018 

2019 

2016 
20 % 

Actual results 

22%54 

Target 2020 

21 % 

Specific  Objective  1: The  number  of  projects  (joint  research  and/or  coordinated  actions)  likely  to  lead  to  a  demonstrable 
improvement in nuclear safety practice in Europe 
Indicator 1: The number of projects (joint research and/or coordinated actions) likely to lead to a demonstrable improvement in 
nuclear safety practice in Europe 

Baseline 
2012 

41 

2014 

2015 
7 

9 

Milestones foreseen 

2016 

2017 

2018 

Actual results 

23 

2019 
29 

Target 2020 

4455 

Specific Objective 2: to contribute to the development of solutions for the management of ultimate nuclear waste 
Indicator 1: The number of projects contributing to the development of safe long term solutions for the management of ultimate 
nuclear waste 

Baseline 
Euratom, 2007-2013 

2014 

15 

2015 
5 

5 

Milestones foreseen 

2016 

2017 

2018 

Actual results 

10 

2019 
12 

Target 2020 

1456 

54 http://ec.europa.eu/eurostat/statistics-explained/index.php/Greenhouse_gas_emission_statistics_-_emission_inventories  
55 Target increased from 14 projects planned for 2018 due to extension of the Euratom programme (from 2014-2018 to 2014-2020) and an increased focus on the 
improvement of nuclear safety. 
56 Target increased from 8 planned for 2018 due to the extension of the programme from 2014-2018 to 2014-2020. 

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Specific Objective 3: to support the development and sustainability of nuclear competences at Union level 
Indicator 1: Training through research - the number of PhD students and postdoctoral researchers supported through the Euratom 
fission projects 

Baseline 
Euratom, 2007-2013 

2014 

2015 
500 

Milestones foreseen 

2016 

2017 

2018 

2019 

200 

Actual results 

Data n.a. 

Data n.a. 

Data n.a. 

Data n.a.57 

Indicator 2: The number of fellows and trainees in the Euratom fusion programme 

Baseline 
Euratom, 2007-2013 

27 

2014 

17 

2015 
30 

28 

Milestones foreseen 

2016 

2017 

2018 

2019 

Actual results 
31 

31 

Target 2020 

1 000 

Target 2020 
(average/year) 

50 

Specific  Objective  4: to  support  radiation  protection  and  development  of  medical  applications  of  radiation,  including  the  secure 
and safe supply and use of radioisotopes 
Indicator 1: The number of projects likely to have a demonstrable impact on regulatory practice regarding radiation protection and 
on development of medical applications of radiation 

Baseline 
Euratom, 2007-2013 

2014 

33 

2015 
1 

1 

Milestones foreseen 

2016 

2017 

2018 

Actual results 

2 

2019 
4 

Target 2020 

658 

Specific Objective 5: to move towards demonstration of feasibility of fusion as a power source by exploiting existing and future 
fusion facilities 
Indicator 1: The number of publications in peer-reviewed high impact journals 

Baseline 
201059 

800 

2014 

2015 

200 

450 

Milestones foreseen 

2016 
800 
Actual results 
325 

2017 
800 

700 

2018 

2019 

Target 2020 

80060 

Specific Objective 6: to lay the foundations for future fusion power plants by developing materials, technologies and conceptual 
design 
Indicator  1: The  percentage  of  the  Fusion  Roadmap's  milestones  established  for  a  period  2014-2018  reached  by  the  Euratom 
Programme 

Baseline 

New approach61 

2014 
13 % 

10 % 

2015 
31 % 

28% 

Milestones foreseen 

2016 
54 % 

2017 
75 % 

Actual results 
47%  

Data n.a. 

2018 

2019 

Specific Objective 7: to promote innovation and industrial competitiveness 
Indicator 1: The number of spin-offs from the fusion research under Euratom Programme 

Baseline 
Euratom, 2007-2013 

2014 

2015 

Milestones foreseen 

2017 

2018 

2019 

2016 
5 
Actual results 

4 

1 

2 

2 

not yet 
available 

Target 2020 

90% 

Target 2020 

662 

57 Data will be available after release of final reports from all fission projects, expected after 2020. 
58Target  reduced  from  25  planned  for  2018,  due  to  the  establishment  in  2015  of  the  European  Joint  Programme  (EJP)  in  radiation  protection  research 
(http://www.concert-h2020.eu/) with a Euratom contribution of  EUR 20 million. It should be noted that research projects launched within the framework of the EJP 
programme are not included in the statistics for this indicator, but only projects launched directly by the Commission are counted. 
59 Data from the Horizon 2020 impact assessment, SEC(2011)1427, Annex 6, page 84. 
60 Figure for the fusion peer reviewed articles published under Euratom FP7 (207-2013) cannot be directly compared to the new figure produced by EUROfusion 
consortium. The new indicator shows only peer reviewed articles concerning implementation of the fusion roadmap, while the old indicator covered all peer 
reviewed articles published by fusion associations which were not necessarily concerning fusion roadmap. 
61 Fusion roadmap was adopted by the members of the European Fusion Development Agreement (EFDA) in 2012. 
62 Target reduced from 10 planned for 2018. The new target is based on updated data on actual spin-offs from fusion research during 2014-2016.  

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Target 2020 

463 

Target 2020 

1 200 

159,6 
69,1 
228,7 

2020 
34** 

25 

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Indicator 2: The patents applications generated and patents awarded on the basis of research activities supported by the Euratom 
Programme (average number per year) 

Baseline 
Euratom, 2007-2010 

2014 

Milestones foreseen 

2015 
3 

2016 
4 
Actual results 

2017 

2018 

2019 

3 

1 

2 

1 

not yet 
available 

Specific Objective 8: to ensure availability and use of research infrastructures of pan-European relevance 
Indicator 1: The number of researchers having access to research infrastructures through Euratom Programme support 

Milestones foreseen 

2016 

2017 

2018 

2019 

Baseline 
2008 

Ca. 80064 

2014 

2015 
800 

872 

958 

Actual results 
1039 

Not yet 
available 

Budget line 

08 03 01 02 
08 03 01 01 

Draft Budget 2019 

Number 

EUR million 

2 
12 

Expenditure related outputs 

Outputs 

Output – EURATOM Fusion 
Output – EURATOM Fission 
Total 

Outputs 

Output EURATOM Indirect Research Fusion 

Output  EURATOM  Indirect  Research  Fission 
(estim.) 
** the EUROfusion grant participants report on 33 work packages  

2014 
2 
2 
0 
0 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
25 
25 

2016 
2 
2 
0 
0 

2018 
2 

2015 
0 
0 
25 
23 

0 

25 

2019 
34** 

Specific Objective 9: to improve nuclear safety including: nuclear reactor and fuel safety, waste management, decommissioning, 
and emergency preparedness 
Indicator 1: JRC policy  support  indicator  – The number of occurrences of tangible specific impacts on Union policies resulting 
from technical and scientific policy support provided by the JRC 

Baseline 
2013 

13 

2014 

14 

2015 
12±1 

16 

Milestones foreseen 
2016 
12±1 
Actual results 
15 

2017 
12±1 

9 

Indicator 2: The number of peer reviewed publications 

Baseline 
(average 2010 – 2013) 

72 

2014 

90 

2015 
72±4 

80 

Milestones foreseen 
2016 
72±4 
Actual results 
45 

2017 
72±4  

62 

2018 
12±2 

2019 
14±2 

2018 
72±8  

2019 
60±8 

Target 2020 

15±3 

Target 2020 

50±8 

Specific Objective 10: JRC policy support indicator – The number of occurrences of tangible specific impacts on Union policies 
resulting from technical and scientific policy support provided by the JRC 
Indicator  1: JRC policy  support indicator  – The number of occurrences of tangible specific impacts on Union policies resulting 
from technical and scientific policy support provided by the JRC 

Baseline 
2013 

15 

2014 

16 

2015 
14±1 

22 

Milestones foreseen 
2016 
14±1 
Actual results 
19 

2017 
14±1  

11 

2018 
14±2  

2019 
18±3 

Target 2020 

22±4 

Indicator 2: The number of peer reviewed publications 

63 No sufficient amount of meaningful data is expected for "patents awarded" before 2020, because of the time that is needed for a patent to be awarded. 
64 2008 figure concerns researchers using mobility scheme under Fusion Programme. Target and milestones are based on the assumption that exploitation of Joint 
European Torus (JET) will continue until 2020. 

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Baseline 
(average 2010 – 2013) 

16 

2014 

20 

2015 
16±1 

16 

Milestones foreseen 

2016 
16±1 
Actual results 

2017 
16±1  

2018 
16±2  

2019 
19±3 

Target 2020 

22±4 

21 

20 

Specific Objective 11: to increase excellence in the nuclear science base for standardisation 
Indicator  1: JRC policy  support indicator  – The number of occurrences of tangible specific impacts on Union policies  resulting 
from technical and scientific policy support provided by the JRC 

Baseline 
2013 

15 

2014 

10 

2015 
14±1 

9 

Milestones foreseen 

2016 
14±1 
Actual results 

2017 
14±1  

2018 
14±2  

2019 
13±2 

6 

12  

Indicator 2: The number of peer reviewed publications 

Baseline 
(average 2010 – 2013) 

58 

2014 

118 

2015 
58±4 

63 

Milestones foreseen 

2016 
58±4 
Actual results 

2017 
58±4  

2018 
58±8  

2019 
57±8 

50 

56 

Target 2020 

12±2 

Target 2020 

55±8 

Specific Objective 12: to foster knowledge management, education and training 
Indicator  1: JRC policy  support indicator  – The number of occurrences of tangible specific impacts on Union policies resulting 
from technical and scientific policy support provided by the JRC 

Baseline 
2013 

13 

2014 

12 

2015 
12±1 

13 

Milestones foreseen 

2016 
12±1 
Actual results 
9 

2017 
12±1 

9  

2018 
12±2 

2019 
11±2 

Indicator 2: JRC scientific productivity indicator – The number of peer reviewed publications 

Baseline 
(average 2010 – 2013) 

35 

2014 

20 

2015 
34±2 

7 

Milestones foreseen 
2016 
10±2 
Actual results 
15 

2017 
10±2 

16 

2018 
10±4 

2019 
14±4 

Target 2020 

10±2 

Target 2020 

18±4 

Specific Objective 13: JRC policy support indicator  - The number of occurrences of tangible specific impacts on Union policies 
resulting from technical and scientific policy support provided by the JRC 
Indicator  1: JRC  policy  support  indicator  -  The  number  of  occurrences  of  tangible  specific  impacts  on  Union  policies  resulting 
from technical and scientific policy support provided by the JRC 

Baseline 
2013 

7 

2014 

11 

Milestones foreseen 

2016 
6±1 

Actual results 

13 

2017 
6±1 

7  

2015 
6±1 

7 

2018 
6±1 

2019 
12±2 

 Indicator 2: JRC scientific productivity indicator – The number of peer reviewed publications 

Baseline 

Not applicable 

2014 

2015 

n/a 

15 

Milestones foreseen 

2016 
10±5 

Actual results 

7 

2017 
10±5 

8 

2018 
10±5 

2019 
9±4 

Target 2020 

18±2 

Target 2020 

7±3 

Expenditure related outputs 

Outputs 

Output – EURATOM Direct research- JRC: Products and services for EU policy makers 
Total 

Budget line 

Draft Budget 2019 

Number 

EUR million 

10 03 01 

250 

12,0 
12,0 

Outputs 

– Output EURATOM Direct research- JRC: 
Products and services for EU policy makers 

2014  2015  2016 
370 
312 

327 
268 

F  379 
P  408 

Number of outputs foreseen (F) and produced (P) 

2017 
221±50 
256  

2018 
242±50 

2019 
250 

2020 
250 

Total 
750 (2014-2018) 
500 (2019-2020) 

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The outputs from Direct Research actions are mostly products and services for EU policy makers resulting from the JRC's Multi-
annual Work Programme 2019-2020 which are planned to be released by the JRC as a result of its direct research nuclear activities. 
These  refer  to  scientific  and  policy  reports,  reference  materials,  validated  methods,  technical  systems,  scientific  information 
systems, databases, etc. The JRC's Multi-annual Work Programme is a rolling work programme reflecting Commission needs. In 
this  sense,  the  number  of  planned  deliverables  from  the  work  programme  is  subject  to change,  since  they  will  have  to  take  into 
account forthcoming requests from the Commission. A reliable value for 2019-2020 planned deliverables can only be provided at 
the end of 2018, when the new work programme is finalized. 

Justification of changes to the financial programming and/or to the performance information 

Policy  support  impact  indicators  count  cases  where  JRC's  work  has  policy-impact  by  incorporation  of  scientific  and  technical 
knowledge  into policy proposals or by supporting the  implementation of EU policies. Impacts are identified in the JRC's annual 
evaluation exercise performed by an internal peer group of experts on the basis of an established evaluation methodology within an 
integrated management system applying ISO standards. 

The  milestones  and  the  long-term  target  reflect  two  opposing  trends:  an  upward  and  fluctuating  evolution  regarding  the  total 
number of policy-impacts due to JRC increasingly gearing its research to support the immediate needs of the Commission, and a 
downward trend in resources. Besides,  following the  adoption of the new JRC  Strategy  2030, the JRC  will reinforce the area of 
knowledge management, education and training, mainly in nuclear safety, and will increase the support to EU policies, resulting in 
a different set of targets per specific objective. 

The  overall  target  across  the  five  Specific  Objectives  of  Direct  Research  (from  SO9  to  SO13)  increases  by  33%  (from  58±4 
expected in 2018 to 77±4 in 2020) to respond to the increase of demand (e.g. to support the implementation of Nuclear Directives) 
experienced in the last years. The table below presents the change in the targets for Indicator 1. 

1. JRC policy support indicator: Number of impacts on Union policies 

Specific Objective 9: to improve nuclear safety 
Specific Objective 10: to improve nuclear security 
Specific Objective 11: to increase excellence in nuclear science for standardisation 
Specific Objective 12: to foster knowledge management, education & training 
Specific Objective 13: to support nuclear safety and security policies 

Total JRC policy support indicators 

Target 2018 
12±2 
14±2 
14±2 
12±2 
6±1 
58±4 

Target 2020 
15±3 
22±4 
12±2 
10±2 
18±2 
77±4 

Scientific productivity indicators count the peer-reviewed articles published within a given year in journals, the titles of which are 
listed in the Thomson-Reuters Science Citation Index Expanded (SCI-e), Social Science Citation Index (SSCI) and/or the SCOPUS 
index.  This  indicator  reflects  the  degree  to  which  JRC  publishes  the  results  of  its  research.  The  reorientation  of  JRC  activities 
towards knowledge management, education and training, mainly in nuclear safety, results in a redistribution of the targets of each 
specific objective. The increase on the demand for support to EU policies results in a slight reduction (8%) of the overall target for 
publications (from 166±8 expected in 2018 to 152±8 in 2020) caused by shifting of resources. The table below presents the change 
in the targets for Indicator 2. 

2: JRC scientific productivity indicator: Number of peer reviewed publications 

Target 2018 

Target 2020 

Specific Objective 9: to improve nuclear safety 
Specific Objective 10: to improve nuclear security 
Specific Objective 11: to increase excellence in nuclear science for standardisation 
Specific Objective 12: to foster knowledge management, education & training 
Specific Objective 13: to support nuclear safety and security policies 

Total JRC scientific productivity indicator 

72±8 
16±2 
58±8 
10±4 
10±5 
166±8 

50±8 
22±4 
55±8 
18±4 
7±3 
152±8 

The total number of foreseen outputs has been adjusted with respect to the figures reported during the preparation of the Euratom 
programme: 150 per year for the period 2014-2018 (total = 750), and 250 per year for the period 2019-2020 (total = 500). At the 
time,  the  estimation  of  outputs  was  done  on  the  basis  of  previous  years  (ex-post  assessment).  With  the  introduction  of  the  new 
rolling Work Programme, the number of planned outputs can now be counted, ex-ante, from a central registry. Figures for 2017 
onwards are made up in a format "baseline ± fluctuation rate", to account for a number of factors that may influence the production 
of policy support deliverables. 

Concerning performance information, it should be noted that the increased demand for support to EU policies experienced in the 
last few years has led to a reorientation of the Direct Research actions conducted by the JRC. These results in an overall increase of 
indicator 1 (+33%) accompanied of an overall reduction of indicator 2, as a consequence of a shift in resources. Nevertheless, the 
combined target grows from 224±8 in 2018 to 229±8 in 2020 (+2%) as it can be seen in the table below: 

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JRC Indicators 

Target 2018 

Target 2020 

1. JRC policy support indicator: Number of impacts on Union policies 

2: JRC scientific productivity indicator: Number of peer reviewed publications 

Total JRC Indicators 

5. Programme contribution to the Sustainable Development Goals 

58±4 

166±8 

224±8 

77±4 

152±8 

229±8 

Nuclear  science  and  technology  can  make  a  major  contribution  to  economic  growth  and  competitiveness,  and  have  a  significant 
role to play in support of the "2030 Agenda Sustainable Development Goals". Nuclear power is one of the low carbon technologies 
for  energy  production.  Important  applications  of  ionizing  radiation  and  radioisotopes  can  be  found  in  different  sectors  such  as 
health, food and agriculture, environment, water supply or industry. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Following a financial contribution from the Euratom Programme, EIB launched in 2017 InnovFin loans for research infrastructures.  

7. Programme related additional information 

Implementation aspects  

The  Euratom  7th  Framework  Programme  (FP7)65,66  was  implemented  during  2007-2013  through  "indirect  actions"  (co-funded 
research  projects  carried  out  by  consortia  of  research  centres,  higher  education  establishments  and  undertakings)  and  by  "direct 
actions"  which  are  research  activities  carried  out  by  the  Joint  Research  Centre  of  the  European  Commission.  Euratom  FP7  was 
subject of the ex-post evaluation carried out by independent experts67 in 2015 (see COM (2016)5 and Annex 1 in particular). 

Indirect actions: In fission research, research supported by Euratom FP7 had a substantial number of scientific achievements in all 
fields supported by the programme  - nuclear safety, radiation protection, radioactive waste management. A substantial number of 
research proposals (288 proposals submitted for seven annual calls) prepared by 3352 applicants demonstrated a strong interest of 
research  stakeholders  to  participate  in  nuclear  research  at  European  level.  Stakeholders,  including  industry,  have  also  shown  a 
readiness to form consortia in response to the calls  - the average consortium size in Euratom Programme was significantly higher 
than across FP7 as a whole (17 compared to 12 partners per collaborative project). Moreover, total investment in funded projects 
was almost €660 million for a Euratom contribution of only €354 million (54% of total costs). 

Direct actions: The JRC implemented the Euratom FP7 direct actions endowed with a total of EUR 750 million. This is about two 
thirds of the nuclear fission research in Euratom’s FP7 programme. With the objective of ‘providing customer-driven scientific and 
technical  support  to  the  Community  policy-making  process  in  the  nuclear  field,  ensuring  support  to  the  implementation  and 
monitoring  of  existing  policies  while  flexibly  responding  to  new  policy  demands’,  the  programme  encompassed  the  following 
thematic areas:  nuclear  waste  management,  environmental  impact and basic  knowledge  (40%), nuclear safety of reactor systems 
including stress test and emergency preparedness (35%), and nuclear security, safeguards and non-proliferation (25%), achieving 
the planned objectives. 

Contribution to policy achievements 

The  JRC  supported  Member  States  in  implementing  the  EU  directive  for  the  responsible  management  of  irradiated  fuel  and 
radioactive  waste.  The  JRC  supported  the  development,  implementation  and  evaluation  of  more  than  150  projects  aimed  at 
improving nuclear safety and radioactive waste management in countries outside the EU, in particular neighbourhood countries and 
pre-accession countries. 

In  the  area  of  radiation  protection,  the  JRC  developed  the  European-wide  environmental  radioactivity  monitoring  systems  and 
environmental models of radioisotope dispersion; and supported the harmonization of the national monitoring processes.  

The  JRC  also  runs  a  well-known  and  acknowledged  research  programme  on  nuclear-reactor  safety,  nuclear-fuel  safety  in  power 
reactors operating in the EU, and the safe operation of advanced nuclear energy systems. In addition, the JRC also provided the 
secretariat and professional support for the EU ‘stress tests’ requested by the Council following the Fukushima nuclear accident. 

To  implement  the  EU  safeguards  system,  the  JRC  developed  methods,  techniques  and  standards  used  in  the  on-site  laboratories 
located in reprocessing plants (France and UK) and provided technical support during inspection campaigns and in support of the 
safeguards regime. In the field of nuclear security, JRC provided technical assistance and training to Member States and IAEA; the 

65 Council Decision 2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community 
(Euratom) for nuclear research and training activities (2007 to 2011) includes a budget of EUR 2 751 million to be spent over five years (2007-2011). 
66 Council Decision 2012/95/Euratom of 19 December 2011 concerning the Seventh Framework Programme of the European Atomic Energy Community (Euratom) 
for nuclear research and training activities (20012 to 2013) includes a budget of EUR EUR 233,2 million to be spent over two years (2012-2013) 
67 Report available on https://ec.europa.eu/research/evaluations/index_en.cfm  

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JRC  established  the  European  Nuclear  Security  Training  Centre  (EUSECTRA)  to  train  the  officers,  coaches  and  experts  on 
detection, forensics and response to illicit trafficking of radioactive materials.  

Generated EU added value (ex-post) 

The Euratom FP7 has generated a clear European added value in the field of nuclear safety and radiation protection. The Euratom 
programme mobilised a wider pool of excellence, competencies and multi-disciplinarity than is available at national level. Projects 
in nuclear safety and radiation protection required the bringing together of expertise from many Member States and so ensured that 
competences in key technical sectors can be  retained in Europe,   The Euratom programme increased the  willingness of research 
stakeholders  to  release  capital  for  projects  with  particular  importance  for  nuclear  safety.  The  SARNET-2  project  is  an  excellent 
example of the leverage effect of Euratom funding – the total budget was almost €39M but the Euratom contribution is just €5.75M 
(i.e. less than 15% of total costs). The project supported the efforts of a number of European R&D organisations, including safety 
authorities, industry and universities, to  network their research capacities  to address severe reactor accidents, thus enhancing the 
safety of existing and future nuclear power plants. This Network of Excellence defined joint research programmes and developed 
common  computer  tools  and  methodologies  for  safety  assessment  of  nuclear  power  plants,  and  ultimately  supported  efforts  for 
sustainable  integration  of  the  key  R&D  organisations  in  this  sector.  The  achievements  of  the  fusion  programme,  in  particular 
resulting from joint exploitation of JET, rely on the collective endeavours of researchers and engineers from across Europe (about 
350 persons per year), supported by Euratom funding for mobility. 

The  JRC  is  an  independent  reference  centre  of  science  and  technology  in  the  Union,  which  provides  scientific  and  technical 
expertise in the field of nuclear incidents and accidents. The EU added value is demonstrated in activities  such as management of 
the  European  Community  Urgent  Radiological  Information  Exchange  (ECURIE)  as  well  as  the  European  Radioactivity  Data 
Exchange Platform (EURDEP). Activities carried out by JRC contributed to the enlargement of the Union by providing scientific 
and technological support to the candidate countries for their implementation of the Union  acquis and for their integration within 
the European Research Area. 

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HEADING 1A: Competitiveness for growth and jobs 

Programme for the Competitiveness of Enterprises and small and medium-sized 
enterprises (COSME) 
Lead DG: GROW 

I. Programme Overview 

What the programme is about ? 

COSME is the EU programme for competitiveness and SMEs, with a total budget of EUR 2.3 billion over 2014-2020. It has four 
main objectives: 

1.  Access to finance (at least 60 % of the budget) 
2.  Access to markets (indicatively 21.5 % of the budget) 
3.  Promoting a favourable environment for businesses and competitiveness of enterprises (indicatively 11 % of the budget) 
4.  Promoting entrepreneurship (indicatively 2.5 % of the budget) 

EU added value of the programme 
The additional value for action at the Union level relies on the following four main sources: 
  Strengthening  the  Single  Market,  by  overcoming  market  fragmentation  in  areas  such  as  venture  capital  investment,  cross-
border  lending  and  credit  enhancement  as  well  as  informational  and  organizational  constraints  which  prevent  SMEs  from 
taking advantage of the opportunities that the Single Market offers. 

  Demonstration and catalytic effects through the dissemination of industrial and policy best practices. 
  Economies of scale in areas where it would be difficult for individual Member States to achieve the required critical mass. For 
instance, in the field of support to SMEs abroad, European added value is created by the bundling of national efforts and, by 
establishing  services  that  would  lack  critical  mass  if  provided  at  national  level  (for  example,  through  support  to  IPR 
enforcement).  Union  intervention  can  also  contribute  to  avoid  duplication  of  effort,  promote  cooperation  between  Member 
States and coordination with relevant non-Member States. 

  Coherence and consistency in national measures through the exchange of best practices at European level and benchmarking. 
The  European  Investment  Fund  (EIF),  entrusted  with  the  implementation  of  the  financial  instruments,  has  a  long  experience  in 
designing  and  implementing  SME-friendly  financing  schemes.  The  Enterprise  Europe  Network  has  achieved  tangible  results  by 
putting emphasis on promoting the internationalisation of SMEs (in the Internal Market and beyond) through providing information 
on Union matters as well as the possibility to feed into the decision making process. 

II. Programme Update 

Implementation status (2014-2017) 

The financial instruments 

The calls for expressions of interest launched by EIF in 2014 in accordance with the the COSME Delegation Agreement attracted 
great interest from financial intermediaries across the EU and non-EU countries participating in COSME, especially for the Loan 
Guarantee  Facility (LGF). At the end of 2017, the EIF signed 87 agreements for loan guarantees for a total volume of EUR 859 
million, out of which 72 agreements were backed by the European Fund for Strategic Investment (EFSI). Under these agreements, 
more than 237 000 SMEs already got more than EUR 10 billion of financing by the end of September 2017.  

Signing agreements for the Equity Facility for Growth (EFG) took longer, as equity entails more complex due diligence and fund-
raising processes. At the end of 2017, the EIF has invested through the EFG in 12 funds (out of which 2 conditional signatures at 
this  stage),  for  a  total  amount  of  EUR  131.7  million.  Of  these,  four  are  multi-stage  funds  combined  with  the  InnovFin  Equity 
Facility for Early Stage set up under Horizon 2020. 

The total budget foreseen  under the 2017 work programme  (EUR  224 million)  was fully implemented and even exceeded (EUR 
238 million), mainly due to the commitment in favour of the EFG of EUR 14 million of GIF2 repayments received in 2017.  

The Enterprise Europe Network 

As in the previous years, about two thirds of the COSME budget for access to markets has been devoted to the Enterprise Europe 
Network (EEN), which helps SMEs to internationalise in particular with advisory services and by finding business, technology and 
innovation  partners  abroad.  The  Enterprise  Europe  Network  services  are  available  to  SMEs  in  all  regions  of  the  EU  with  479 
organisations in the  EU, 105 in the ten  COSME participating countries and about 100 in third countries (not  funded); additional 
organisations  from  Bosnia-Herzegovina  and  Ukraine  joined  the  Network  in  2017.  Network  organisations  signed  seven-year 
framework partnership agreements and specific grant agreements for 2017-2018 (second operational period), following the initial 
operational period for 2015-2016. 
Building on the positive results of its first two  years of activity under the  COSME programme, the EEN continued its efforts to 
improve the quality, the efficiency and the relevance of its services for European SMEs. A new strategic vision for the EEN has 
been developed to adapt its services to changing business needs and to further increase the concrete positive impact on its clients' 
businesses.  ‘EEN Scale-Up Advisors' were put in place, as set out in the European Commission’s ‘Start-up and Scale-up Initiative', 

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to help start-ups overcome the barriers to growth and to fully support their ambition to scale. The quality and efficiency of Network 
services  was  also  reflected  in  the  results  of  the  COSME  client  satisfaction  survey  where  86%  of  respondents  declared  being 
satisfied or very satisfied with Network services. 

Erasmus for Young Entrepreneurs 
Erasmus for Young Entrepreneurs (EYE) holds annual calls for proposals resulting in EASME signing 24-month grant agreements 
and framework partnership agreements as of 2016.  Not all projects that passed the evaluation could be funded over the last years 
because of budget constraints. In 2014 the budget was EUR 6.5 million, in 2015 EUR 7.8 million, in 2016 EUR 7.6 million and in 
2017  EUR  9.4  million.  Currently  there  are  194  local  contact  points  in  countries  (27  EU  Member  States  and  10  other  COSME 
countries). In 2017 the EYE scheme has already reached the level of 5800 exchanges between new and experienced entrepreneurs 
since the start of the programme, and proved to be successful in addressing the needs of entrepreneurs in the European market. In 
order  to  strengthen  the  scheme  a  longer  term  Framework  partnership  agreement  (2016-2021)  was  signed  with  experienced 
intermediary organisations (99) of the programme.  

SME Policy 
SME Policy action covers the following activities: 
 

 

 

the SME performance review (SPR) which comprises the Annual Report on European SMEs and 35 SBA country fact sheets is 
an  empirical  statistical  tool  to  monitor  SME  performance  and  to  guide  policy  making.  The  SPR  supports  the  Commission’s 
monitoring  of  improvements  in  the  implementation  of  the  Small  Business  Act  (SBA)  and  feeds  into  the  preparation  of  the 
European Semester Country Reports.  
the organisation of the SME Assembly under the EU presidency. The main objective of the Assembly is to create an annual 
forum with SME stakeholders at EU and national level for the improvement of SME business environment. The Assembly also 
enables a better cross-border cooperation of SME stakeholders. It attracted around 600 participants and was highly appreciated 
by them (more than 90%). 
the  organisation  of  different  events.  The  Single  Market  Forum  comprises  every  year  15-20  smaller  workshops  with 
entrepreneurs to define very concretely areas where the Single Market needs to be made more efficient; SMEs and their owner 
get in direct touch  with policy  makers and can present their issues. Since 2016, the European Enterprise Promotion  Awards 
(EEPA)  allows  to  award  initiatives  that  support  entrepreneurs  for  their  excellence.  Ideas  from  Europe  initiative  allows 
entrepreneurs with ideas that contribute to the solution of societal problems to scale these ideas and pave the way for the whole 
sector. Finally, SME Week is the umbrella and brand under which hundreds of events in Member States and on the European 
level have been and are organised to showcase European SME policy and to receive feedback from entrepreneurs. 

  Realisation of the "Business Planet" series. The series contributes to promote and inform on SME policy implementation (best 
practices) including available support at EU and Member States level. As the broadcasting seasons do not follow the calendar 
years exactly, 24 magazines were produced and broadcast from March 2014 to February 2015 (3rd season); 24 magazines were 
produced and broadcast from June 2015 to June 2016 (4th season) and 10 episodes from October 2016 to March 2017 (so far 
out of 24 planned from October 2016 to October 2017; 5th season). The number of viewers will be properly assessed once the 
cycle has finished: e.g. the estimated audience (adult contacts) for the whole 4th season of the Business Planet is 23.7 million 
(Euronews reports, based on the Eureka/Telmar database). 

Another facet of the COSME programme is its actions contributing to improve framework conditions for the competitiveness of EU 
enterprises,  especially  SMEs.  In  the  context  of  the  "Cluster  Go  international"  Initiative,  the  COSME  budget  enabled  the 
establishment of 23 new EU cluster partnerships in 2017 over 120 clusters in Europe. This initiative  encourages clusters and more 
to the point the SMEs  which  are part of them, to access  global value chains and  find strategic partners. Similarly,  the European 
Cluster  Collaboration  Platform  (ECCP),  after  two  years  of  operation,  is  considered  as  a  leading  hub  for  facilitating  cluster 
collaboration at European and global level. Today, it gathers more than 720 cluster organizations with an average of 100 SMEs per 
cluster. The  EECP is now a  key EU  instrument supporting SME internationalization; the great  number  of international  meetings 
where the EECP took part shows that the EECP is now identified as such.    

The  programme  also  continued  to  support  EU  added-value  actions  and  transnational  cooperation  projects  in  the  tourism  sector. 
These actions helped improving  the business environment  for tourism enterprises,  through enhanced socio-economic  and  market 
intelligence and exchange of best practices, and contributed to diversifying and increasing the visibility of Europe's transnational 
tourism offer.  

Support was given to other activities as well such as the EU-Japan Centre and the Intellectual Property Rights (IPR) Helpdesks, and 
also projects such as those dealing with modernisation of industry, the promotion of entrepreneurship with actions targeting  young 
people and women, and actions to support the Single Market Strategy and the Communication on Start-ups/scale-ups.  

Monitoring ensured that budget was reallocated to the most successful and oversubscribed activities.  

Key achievements 
In 2017, more than than 237 000 SMEs in 25 countries already received financing for more than EUR 10 billion68. Especially start-
ups  and  smaller  SMEs  which  find  it  hardest  to  access  finance  due  to  their  perceived  higher  risk  or  lack  of  sufficient  collateral 

68 http://www.eif.org/what_we_do/guarantees/single_eu_debt_instrument/cosme-loan-facility-growth/implementation_status.pdf 

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benefit from the enhanced LGF with 89% of SMEs financed having less than 10 employees and almost 50% being start-ups with an 
operational history of less than 5 years69.  

The Enterprise Europe Network’s services range from information on EU matters, company visits and awareness-raising campaigns 
to specialised advisory services, company missions and matchmaking and technology brokerage events. Numbers for 2017 are not 
available yet because of the 2-year duration of the grants, however about 254.000 SMEs received support in 2016 and it’s expected 
to be similar for 2017. Some 3 000 network staff have been active in local events, provided specialised advisory services to 70 000 
SMEs  on  access  to  finance,  intellectual  property  rights,  business  and  technology,  resource  efficiency  services  etc.,  about  25 000 
SME  participated  in  matchmaking  events.  Since  its  renewal  in  2015,  the  Enterprise  Europe  Network  reached  8,620  partnership 
agreements between SMEs thanks to Network partnering services, while the new Network advisory support services gave already 
3,784 clients a significant impetus to improve their competitiveness and innovation at European level.  

In 2017, Erasmus for Young Entrepreneurs (EYE) has already reached the level of 5800 exchanges between new and experienced 
entrepreneurs  since  the  start  of  the  programme.  Currently  the  programme  is  being  implemented  by  a  network  of  175  local 
intermediary organisations in 33 countries (out of 38 participating). The mid-term COSME evaluation of the programme performed 
in 2017 concluded that the overall concept of the programme proved to be successful in addressing the needs of entrepreneurs in the 
European market. New entrepreneurs participating in the programme between 2014 and 2016 have created 241 new companies so 
far, and over 1000 new jobs. Host entrepreneurs also confirmed the positive effects as next to over 1000 new jobs created on their 
side, 58% of experienced entrepreneurs have seen an increase in turnover and 41% in increased employment.  

Evaluations/studies conducted 
In December 2017, the external support study for the COSME Interim Evaluation70 was finalised. It gives a positive overview of 
the implementation and results achieved during the first three years of the programme (2014-2016). Implementation is on track to 
reach  the  objectives  in  the  legal  basis.  COSME  actions  are  highly  relevant  in  addressing  the  challenges  related  to  fostering 
economic growth and creating employment. The strength of the programme lies in the use of intermediary organisations (financial 
intermediaries, Enterprise Europe Network Members, intermediary organisations for Erasmus for Young Entrepreneurs and cluster 
organisations). COSME exploits the proximity of these intermediaries to SMEs and facilitates the integration of services provided 
by COSME with services provided by these intermediaries in their national and regional contexts. The feed-back from beneficiaries 
is generally positive with a substantial majority reporting a good cost-benefit ratio for their participation. The European dimension 
is the added value of COSME. Moreover, COSME actions have helped in enhancing national, regional and local measures. 

Based on the issues detected, the evaluation made proposals to further improve the performance of COSME:  At programme level, 
an  effort  needs  to  be  made  to  reduce  the  fragmentation  of  the  budget  into  many  small  actions  to  improve  efficiency  and  cost-
effectiveness. Availability of monitoring data should be provided centrally to strategically guide implementation.  

Indeed,  there  is  an  unbalanced  distribution  and  strong  fragmentation  of  the  budget  available.  As  stipulated  by  the  COSME 
regulation, the large majority of the COSME budget (80%) is used for the two key actions. The remaining 20% of the budget is 
spread  over  a  large  number  of  small  actions.  This  fragmentation  influences  negatively  the  potential  for  efficiency  and  cost-
efficiency  in  the  programme  implementation  and  accentuates  the  limits  in  strategic  steering  and  coordination  of  the  programme. 
Competition  in  some  COSME  calls  can  be  quite  high,  especially  for  the  smaller  actions,  which  can  be  considered  a  direct 
consequence of the funding fragmentation. This places an additional burden on applicants, which can be particularly problematic 
for SMEs and may lead to a narrowing of the applicant base, both geographically and sectorally.  

The lack in quality and in particular completeness of the data on the beneficiaries of the programme constitutes a major hurdle for 
an efficient management of the programme implementation. The spread of the implementation responsibilities over the many actors 
involved (the EIF, EASME and in 2014-16, about 15 DG GROW units) creates a considerable challenge to efficient programme 
management and coordination, with a risk of weakened programme oversight. It also makes it much  more difficult to evaluate the 
programme.  The  various  reporting  systems’  focus  on  activities  and  outputs  is  equally  problematic.  A  stronger  attention  for  the 
collection of data  on the profile of the beneficiaries is  needed to allow  for a proper monitoring of  the programme outcomes and 
progress towards reaching its objectives. 

The  evaluation  found  that  the  following  actions  are  the  most  successful  in  terms  of  results  and  should  be  continued  and 
strengthened:    

  The COSME Loan Guarantee Facility reaches some 10  000 new SMEs every month, with 237.000 SMEs (50% are start-ups 
and 90% micro firms) supported by the end of September 2017. It has a high leverage effect turning 1 euro of the EU budget 
into 30 euros of financing SMEs. 

  The Enterprise Europe Network (EEN) provides advisory services to some 250 000 SMEs every year. An external evaluation 

found in 2015 that SMEs receiving EEN services have growth rates of 3.1% higher than non-EEN supported SMEs.  

69 Since 2015, as part of the Investment Plan of the Juncker Commission, funding opportunities under the COSME Loan Guarantee Facility (LGF) are enhanced 
with the support of the SME Window of the European Fund for Strategic Investments (EFSI). The initial front-loading mechanism of EUR 500 million was 
converted in 2017 into a permanent top-up of the COSME LGF budget by EUR 550 million from the EFSI guarantee. This has allowed the LGF to make available 
much more financing to SMEs 
70 http://ec.europa.eu/DocsRoom/documents/28084 

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  The  Cluster  Go  International  action  reaches  3,800  SMEs  per  €  1  million  invested.  The  European  Cluster  Collaboration 
Platform (ECCP) gathers more than 690 cluster organisations with an average of 100 SMEs per cluster, reaching out to about 
69 000 SMEs across Europe.  

  The  SME  Performance  Review  and  SME  Envoy  network  provide  economic  information,  knowledge  sharing,  benchmarking 

and exchange of good practices to Member States to ensure the coherence of SME policy in the EU.  

The supporting study will feed the Commission Staff Working Document on the COSME Interim Evaluation to be transmitted to 
Council and European Parliament by mid-2018. 

Forthcoming implementation (2018-2019)  

The work programme for 2018 has a total budget of EUR 341 million of which some 60% is allocated to financial instruments and 
some 20% to activities promoting enterprises' access to markets – the two main priorities of the programme.  The work programme 
is structured according to the four action areas and linked to the Commission's policy priorities, in particular on promoting jobs, 
growth and investment, upgrading the single market and digital single market and implementing better regulation. 

The  financial  instruments  The  market  demand  under  the  LGF  remains  high  and  it  is  expected  that  available  budget  resources 
(including  the  EFSI  top-up)  will  not  be  enough  to  fully  cover  the  demand.  With  the  amendment  of  the  EFSI  Regulation  which 
entered into force on 1 January 201871, an increase of the current LGF top-up is under consideration. This increase would enable 
the  LGF  to  continue  covering  the  high  market-demand  for  the  LGF  guarantees  and  counter-guarantees  towards  the  end  of  the 
programming period. 
The EFG is expected to meet market demand of geographical areas not covered by the equity expansion and growth sub-window of 
EFSI, such as the Western Balkans. Furthermore, the implementation of the budgetary contribution towards the Pan-European VC 
Funds-of-Funds is expected to start in 2018, with the signatures of agreements with selected Funds-of-Funds managers. 

Enterprise Europe Network  More than  two-thirds of the  COSME budget  for access to  markets  will be devoted to the Enterprise 
Europe Network (EEN). The specific grant agreements for the EEN for the second operational period 2017-2018 were signed with 
a renewed focus on advisory services bringing real added value to SMEs.  A new vision for the EEN has been developed setting the 
strategic priorities for the years to come.  The implementation of the operational tasks addressing the challenges from the vision is 
planned for 2018 and onwards.   

Erasmus for Young Entrepreneurs The Erasmus for Young Entrepreneurs scheme has signed longer term Framework partnership 
agreements (2016-2021) with 99 experienced intermediary organisations of the programme in order to strengthen the scheme.   
The  COSME  budget  also  continues  to  support  the  most  successful  actions  such  as  the  Cluster  initiatives  (the  European  Cluster 
Collaboration Platform, and the Cluster Excellence Programme). Further support is envisaged in tourism actions, and in particular 
for the EU-China Tourism year in 2018.  A renewal of the call for the International IP SME Helpdesks will take place. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1287/2013 of the European Parliament and of the Council of 11 December  2013 
establishing  a  Programme  for  the  Competitiveness  of  Enterprises  and  small  and  medium-sized 
enterprises (COSME) (2014 - 2020) and repealing Decision No 1639/2006/EC 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

2 298,2 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

4,2 
243,4 
6,5 
254,1 

3,9 
292,2 
8,0 
304,1 

2,8 
302,2 
7,0 
311,9 

2,6 
337,9 
8,8 
349,4 

3,5 
341,1 
9,5 
354,1 

2,8 
349,5 
9,9 
362,2 

4,1 
406,7 
10,2 
421,1 

Total 
Programme 
23,9 
2 272,9 
59,9 
2 356,8 

2017 

2018 

CA 
349,378 

Impl. Rate 
100,00 % 

PA 
225,661 

Impl. Rate 
99,04 % 

CA 
354,109 

Impl. Rate 
43,00 % 

PA 
202,756 

Impl. Rate 
21,45 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

81,61 % 

42,33 % 

23,15 % 

98,89 % 

360,319 

295,570 

380,518 

258,575 

71   REGULATION (EU) 2017/2396 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 13 December 2017 amending Regulations (EU) No 

1316/2013 and (EU) 2015/1017 as regards the extension of the duration of the European Fund for Strategic Investments as well as the introduction of technical 
enhancements for that Fund and the European Investment Advisory Hub 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
100% (lines 02 02 01; 02 02 02) 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Equity facility for Growth 
Enterprise Europe network 
Total 

Budget 2018 
(EUR Million) 
9.3 
14.5 
23.8 

DB 2019 
(EUR Million) 
10.5 
15 
25.5 

2014 
21.2 

2014 – 2016 
2015 
21.6 

2017-2018 estimates 

2016 
21.1 

2017 
23.9 

2018 
23.8 

2019-2020 programming 
2020 
2019 
26.9 
25.5 

Total 
2014-2020 
164.0 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

4. Performance information 

General objectives 

General Objective 1: to strengthen the competitiveness and sustainability of the Union's enterprises, particularly SMEs 
Indicator 1: Performance of SMEs as regards sustainability 

Baseline 
2012 

26 % 

2014 
Share of EU 
SMEs:   
2013= 205 

Milestones foreseen 

2015 

2016 

2018 

2019 

2017 
Share of EU 
SMEs:  
2017= 3245 

26% 

26% 

Actual results 

25% 

Target 2020 

Increase the share of 
EU SMEs producing 
producing green 
products (goods and 
services)s 

Updated data from the Flash Eurobarometer 456 on SMEs, Resource Efficiency and Green Markets, December 2017. 
Indicator 2: Changes in unnecessary administrative and regulatory burdens on both new and existing SMEs 

Baseline 
2012 

5.4 working days to set up 
an SME and 
EUR 372 cost of start-up 

Milestones foreseen 

2014 

2015 

2016 

3,5 days and 
EUR 313 

2017 
4 days 
EUR 300 cost 
of start-up 

3,5 days and 
EUR 335 

3,6 days and 
EUR 339 

3,5 days and 
EUR 320 

3,1 days, 
EUR 311* 

Actual results 

2018 

2019 

Target 2020 

Marked reduction of 
number of days to set-
up a new SME* 

A 2020 target of 3 days and EUR 100 is mentioned in the Industrial Policy Communication COM (2014) 14 of 22 January 2014. 
Figures for 2014 and 2015 were updates following a revision of data done by some Member States in 2016. 
* Electronic/ simplified registration is currently measured at 2.7 days, EUR 283. 
Indicator 3: Changes in the proportion of SMEs exporting within or outside the Union 

Baseline 
2009 

2014 

2015 

2016 

2017 

Milestones foreseen 

25 % of SMEs export 
within the EU and 
13 % of SMEs export 
outside the EU 

30%;  
20% (*) 

Actual results 

2018 
29 %  

17.5 %  

2019 

Target 2020 

Increase in the share 
of SMEs exporting 
andincrease in the 
share of SMEs 
exporting outside the 
Union 

(*)Source:  2015 Eurobarometer survey on the internationalisation of SME, based on figures for 2014. 

Justification to the performance information 
The objectives of COSME and of the Small Business Act (SBA) are aligned and full impacts are reached by the coordination of 
spending and policy action. In line with such coordination, the 11% of the COSME budget supports action to improve the business 
environment.  This  is  an  area  where  notable  results  have  been  achieved  under  the  COSME  predecessor  programme,  the 
Competitiveness  and  Innovation  Framework  Programme  (CIP)72.  Time,  costs  and  other  administrative  burdens  to  start  up  a 
business have steadily decreased, e.g. an estimated overall 40 billion EUR savings for enterprises due to proposals for legislative 
revision has been achieved under the CIP. Action is continued under COSME.  

72 http://ec.europa.eu/cip/documents/implementation-reports/index_en.htm 

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As regards indicator 2, the time to obtain licences to start up a company, the milestone target (2017) has already been reached in 
2014.    In  2015,  a  Flash  Eurobarometer  Survey  provided  additional  data  on  licencing  procedures,  including  those  related  to 
protection of the environment, health and safety which typically represent a challenge for start-ups. Action will be pursued to reach 
our 2020 target in this area as the programme is well on track. 
General Objective 2: to encourage entrepreneurial culture and to promote the creation and growth of SMEs 
Indicator 1: Changes in SME growth: Total EU turnover (Gross Value Added) 

Baseline 
2010 

In 2010 SMEs provided 
more than 58% 

2014 
Annual increase of 
4% in SMEs Gross 
Value-Added 
(GVA) 

SME's value added 
grew in 2014 by 
4.13% 73 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

Target 2020 

4 % 

4 % 

4 % 

4 % 

4 % 

Actual results 

5.78 % 

1.36 % 

2.51 % 

Increase of SME 
output (value added) 

Data from the SME Performance Review 2017 based on figures for 2014 and 2015. Figures for 2016 are nowcasted and 2017 forecasted. The data 
from last year for the reference year 2016 was 4.03 Billion € value added created by EU SMEs of the non-financial business economy. 
Indicator 2: Changes in SME growth: Employees 

Baseline 
2010 

Total number of 
employees in SMEs in 
2010 = 87.5 million (67% 
of private sector jobs in the 
EU) 

The annual growth of 
employees in SMEs in 
2010 was -0.4% and 0.2% 
in 2011 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

91.42 million 

92.93 million  94.07 million  94.8 million 

Actual results 

1 % 

1 % 

1 % 

1 % 

1 % 

90.14 million 
Annual growth 
of employees 
in SMEs of 1% 

Actual results 

1 % 

1 % 

1 % 

1 % 

1 % 

Annual 
growth of 
employees in 
SMEs of 1% 

Increase of SME 
employees 
Target number around 
95.5 milion jobs in 
2020 (calculated from 
the base year 2014) 

1.65 % 
Data: SME Performance Review 2017 based on figures for 2014/15.  SME's value added grew in 2015 by 5.78% and employment by 1.54% 

1.88 % 

0.96 % 

1.54 % 

Justification of changes to the performance information: 
Since 2008 employment has increased  more in SMEs than  in larger companies, but only comparing  micro companies  with large 
companies, not comparing SMEs with large companies.  From 2008 -2016 large enterprises increased employment by 2.9% (+880 
000 jobs) and SMEs by 0.6% (+540 000 jobs), but only micro companies by 2.4% (+960 000  jobs).  (SMEs account for 57% of 
total  GVA  in  the  non-financial  business  industry).  However  annual  growth  has  been  lower  than  1%.  GVA  and  employment 
indicators  have  been  impacted  by  the  downturn  in  the  construction  and  manufacturing  sectors  in  particular.  Stronger  economic 
growth  will  be  necessary  to  reach  the  milestone  target  on  the  employment  related  indicators.  As  underlined  in  the  2014  Annual 
Report on European SMEs, heavy focus is needed on improving the business environment to foster SME growth (please see also 
general objective 1 under COSME), in particular as regards better regulation (specific objective 2 under COSME), access to finance 
(specific objective 1 under COSME) and innovation in SMEs (specific objective 2 under Horizon 2020). 

Indicator 3: Changes in the proportion of Union citizens who wish to be self-employed 

Baseline 
2012 

37% 

2014 
Data n.a. 

2015 
Data n.a.  

2016 

2017 
50% 

2018 

2019 

Milestones foreseen 

Actual results 

Target 2020 

Increase in share of 
EU citizens that 
would like to be self-
employed  

*No Eurobarometer on Entrepreneurship has been performed since 2012.  
To note that the Global Entrepreneurship Monitor measures every year the percentage of the adult population between the ages of 18 and 64 years 
who believe that entrepreneurship is a good career choice. According to the GEM report (2016) among other areas of the world Europe has the 
lowest belief in entrepreneurship as a good career: 57,2%, compared for instance to 63,7% in the US. However in this survey Europe does not 
correspond to the EU, but it is rather a geographical Europe, including for instance also Switzerland and Russia74.  

73 http://ec.europa.eu/growth/smes/business-friendly-environment/performance-review/index_en.htm.  Figures from the SME performance review 2015. 
74 http://www.gemconsortium.org/report 

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Specific objectives 

Specific Objective 1: to improve framework conditions for the competitiveness and sustainability of Union enterprises, particularly 
SMEs, including in the tourism sector 
Indicator 1: Activities to improve competitiveness - Number of simplification measures adopted 

Baseline 
2013 

3 

2014 
4 in 2014 (1 
postponed to 
early 2015) 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

Target 2020 

At least 7 

Indicator 2: Activities to improve competitiveness – Making the regulatory framework fit for purpose 

5 

4 

Actual results 

Baseline 
2013 

Delivered in 2013: 
1 Fitness Check 
2 Cumulative Cost 
Assessments 
1 Review  
1 Legislative initiative 

2014 

Delivered in 
2014: 
3 Evaluations 
1 Legislative 
initiative 
2 Withdrawals 

2015 
1 Repeal 
2 Fitness 
checks 
4 Evaluations 
1 Cumulative 
Cost 
Assessment 

8 

6 

Milestones foreseen 

2016 

2017 

2018 

2019 

Target 2020 

1 Fitness 
Check 
3 Evaluations 
2 Cumulative 
Cost 
Assessments 

2 evaluations 
2 Cumulative 
Cost 
assessments 

Actual results 
6 

4* 

20 Fitness Check, 
Evaluations, 
cumulative Cost 
Assessment and 
Repeals to be 
delivered by 2016 

*pending confirmation 
Indicator 3: Activities to improve competitiveness - Number of Member States using the competitiveness proofing test 

Baseline 
2013 

Number of Member States 
using the competitiveness 
proofing test: 0 

2014 
1 Member 
State (Nov 
2014) 

Milestones foreseen 

2015 

2016 

2017 
7 Member 
States by end 
2017 

Actual results 

2018 

2019 

Target 2020 

Marked increase in 
the number of 
Member States using 
the competitiveness 
proofing test 

6* 
Data from SBA Fact sheets and DG GROW internal sources, Q1 2015.   
Indicator 4: Activities to improve competitiveness – Resource efficiency (which may include energy, materials or water, recycling, 
etc.) actions taken by SMEs 

2018 

2019 

Target 2020 

Baseline 
2013 
93% of SMEs are taking at 
least one action to be more 
resource efficient, with the 
most common actions 
being to minimise waste, 
save energy (both 67%) 
and save materials (59%). 
At least half are also 
recycling by reusing 
material or waste within 
the company, or by saving 
water (both 51%). 

Eight out of ten SMEs are 
planning additional 
resource efficiency actions 
in the next two years, 
particularly saving energy 
(58%) and minimising 
waste (56%). Almost half 
(49%) plan to save 
materials, while 43% will 
save water and 41% will 
recycle within the 
company 

Milestones foreseen 

2014 

2015 

2016 

2017 
(Awaiting 
launch of 
European 
Resource 
Efficiency 
Excellence 
Centre) 

Actual results 

Not available  

87% of SMEs 
are taking at 
least one action 
to be more 
resource 
efficient 

71% of SMEs 
are planning 
additional 
resource 
efficiency 
actions in the 
next two years 

Not available 

90% of SMEs 
are taking at 
least one 
action to be 
more 
resource 
efficient 

81% of SMEs 
are planning 
additional 
resource 
efficiency 
actions in the 
next two 
years 

Indicator 5: Developing SME policy - Number of Member States using SME test 

Baseline 
2013 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Increase in the share 
of Union SMEs that 
are taking at least one 
action to be more 
resource efficient 
(which may include 
energy, materials or 
water, recycling, etc.) 
compared to baseline 
(initial measurement) 

Increase in the share 
of Union SMEs that 
are planning to 
implement additional 
resource efficiency 
actions (which may 
include energy, 
materials or water, 
recycling, etc.) every 
two years compared 
to baseline (initial 
measurement) 

Target 2020 

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15 MS 

Around 18 
Member States 
using the SME 
test 

20MS* 

19 MS 

Actual results 

Not available 
yet** 

Marked increase in 
the number of 
Member States using 
SME test 

*2015 Report "EU member states reporting about their SME test", May 2015, http://www.eurochambres.eu/custom/Report_-
_EU_member_states_reporting_about_their_SME-test-2015-00224-01.pdf .  
Indicator 6: Tourism – Participation in transnational cooperation projects 

Baseline 
2011 

Milestones foreseen 

2014 

2015 

2016 

4 countries per 
project (on 
average) 

2017 
5 countries 
per project 
(and expected 
total of 57 
projects)  

2018 
4 countries 
per project 
(5-7 projects 
to be 
awarded) 

2019 
4 countries 
per project 
(5-7 projects 
to be 
awarded) 

3 countries covered per 
project 

5 countries 
covered on 
average 
depending on 
project) 
Completing the information in this indicator we note: 

4 countries 
covered on 
average 
depending on 
project) 

Actual results 

n/a (no call 
took place) 

4 countries 
per project (6 
projects 
awarded) 

Target 2020 

Increase in the 
number of Member 
States participating in 
transnational 
cooperation projects 
and in the number of 
the transnational 
projects funded by the 
Programme 

  Baseline target in 2013 of 33 projects support under calls for proposals for transnational partnerships 
 
 
 
 

42 transnational cooperation projects supported involving SMEs in 2014 
52 transnational cooperation projects supported involving SMEs in 2015 
58 transnational cooperation projects supported involving SMEs in 2017 
2020 target will also aim for better integration of SMEs in transnational tourism products funded by COSME. 

Indicator 7: Tourism  - Number of destinations adopting the sustainable tourism development models promoted by the European 
Destinations of Excellence 

Baseline 

2014 
119 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

Actual results 

98 (on average 20 per 
year) awarded EDEN 
destinations 

120  

140  

140* 

158  

PLANNED 
+/- 178  

* 

Target 2020 

More than 200 
destinations adopting 
the sustainable 
tourism development 
models promoted by 
the European 
Destinations of 
Excellence (about 20 
every year) 

*from 2011 the selection of EDEN destinations takes place every second year in alternation with a year dedicated to the promotion of the awarded 
destinations 
**(+/- 20 destinations expected to be awarded under Health and well-being tourism theme) 
Indicator 8: New Business Concepts - Number of new products/services in the market 

Baseline 

2014 

2015 

Milestones foreseen 
2017 
2016 
5 

Actual results 

2018 
15 

2019 

Target 2020 

New indicator therefore 
no current baseline 

10 projects 
under the call 
for proposals 
design-based 
consumer 
goods 
(published 
twice) 

150 
partnerships 
under the call 
for tender 
WORTH 

PLANNED 
40 start-ups 
under call for 
proposals 
European 
Incubator 
Networks for 
Creativity-
driven 
innovation 

PLANNED 30 
partnerships under 
the call for tender 
"Light industries 
(textile/clothing, 
leather and 
footwear sectors) 
Innovation and 
Technology 
project" 

Increase in the 
cumulative number of 
new products/services 
(initial measurement) 

Expenditure related outputs * 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Activities  to  improve  European  Competitiveness  -  Studies,  impact  assessments,  evaluations, 
conferences 
Activities to develop SME policy and promote SMEs competitiveness - Meetings, reports, databases 

02 02 01 

02 02 01 

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Tourism - Projects, prizes, surveys, events 
New business concepts for consumer goods - Market replication-type projects 
Total 
*The procedure for drafting the work programme has just started.  The figures will be available in April 2018 

02 02 01 
02 02 01 

Number of outputs foreseen (F) and produced (P) 
2018 
65 

2017 
60 

2016 
55 

2019 
70 

2020 
75 

Outputs 

1.Activities to improve European 
Competitiveness - Studies, impact 
assessments, evaluations, 
conferences 
2.Activities to develop SME 
policy and promote SMEs 
competitiveness -Meetings, 
reports, databases 

2014(*) 
44 

70 

102 

10 

F 

P 

F 

P 

F 

2015 
51 

* 

115 

* 

16 

* 

120 

* 

16 

3.Tourism - Projects, prizes, 
surveys, events 

P 

22 projects 
under calls for 
proposals, 1 
Eurobarometer 
survey, 1 tender, 
1 contract under 
framework 
contract , 2 
events 

44 project under 
calls for 
proposals, 1 
Eurobarometer 
Survey, 2 ad-
hoc grants, 1 
direct contract, 1 
tender, 3 events 

18 projects (under 
EDEN ad-hoc grant 
scheme), 1 tender, 2 
contracts under 
framework 
contracts, 1 ETC 
ad-hoc grant 
agreement, 6 events 

F 

8 

11 

12 

4.New business concepts for 
consumer goods - Market 
replication-type projects 

P 

10 projects 
under the call 
for proposals 
consumer-based 
goods 
(published 
twice) 

150 partnerships 
under the call for 
tender WORTH 

122 

128 

130 

132 

18 
PLANNED: 18 
projects (under 
EDEN ad-hoc 
grant scheme), 3 
projects (under 
call for 
proposals), 5 
contracts under 
framework 
contracts (two 
studies/reports, 
organisation of 
three events), 1 
ad-hoc grant 
agreement with 
ETC 
12 

40 start-ups 
under call for 
proposals 
European 
Incubation 
Networks for 
Creativity-
driven 
Innovation 

20 

22 

25 

20 (depends 
on 
availability 
and amount 
of budget) 

22 (depends 
on 
availability 
and amount 
of budget) 

25 (depends 
on 
availability 
and amount 
of budget) 

14 

15 

14 projects 
under 
possible 2nd 
call for 
proposals 
on design-
based 
consumer 
goods 
(depends on 
availability 
and amount 
of budget) 

100 
partnerships 
under 
possible 3rd 
call for 
tender 
WORTH 
(depends on 
availability 
and amount 
of budget) 

15 
40 start-ups 
under 2nd 
call for 
proposals 
European 
Incubation 
Networks 
for 
Creativity-
driven 
Innovation 
(depends on 
availability 
and amount 
of budget) 

 (*)  Beyond  launching  financial  instruments  under  COSME,  the  Commission  took  action  in  2014  to  support  SMEs'  access  to  finance,  e.g.  by 
monitoring  national  policies,  raising  awareness  on  the  Late  Payment  Directive  and disseminating  information on how  best  using  the  European 
Structural and Investment Funds (ESIF) to support SMEs (e.g. brochures for local administrations, success stories showcased  via  the Business 
Planet programme on Euronews).   
In addition, several reports on the competitiveness of enterprises across Europe, the SME Performance Review and the SBA Factsheets have been 
published.  
Finally, under the Green Action Plan for SMEs adopted on 2 July 2014, the Commission announced new specific actions to be implemented as 
from 2015 to boost resource efficiency in SMEs, in particular a guide on how to support resource efficiency in SMEs through ESIF and a resource 
efficiency self-assessment tool for SMEs which will be used to monitor the achievement of the related result indicator. 

Specific Objective 2: to promote entrepreneurship and entrepreneurial culture 
Indicator  1: Number  of  Member  States  implementing  entrepreneurship  solutions  based  on  good  practice  identified  through  the 
programme 

Baseline 
2010 

22 

2014 

2015 

2016 

2017 
25 

2018 

2019 

Milestones foreseen 

28 

28 

Actual results 
28 

Target 2020 

All MSs 

Monitoring under SBA and European semester  
(*)Measuring  entrepreneurship  inclination  is  challenging.  The  indicator  measuring  how  many  Member  States  implement  entrepreneurship 
solutions  may  vary  over  time,  even  within  one  Member  State.  Besides,  many  other  possible  indicators  are  not  practically  feasible  to  measure. 
Nevertheless, the SBA Performance Review demonstrated that the 2013 publication of the Entrepreneurship 2020 Action Plan struck a chord with 
virtually all Member States and that implementation of its many recommendations continues apace. It is why number of more specific conferences 

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and labs were held starting from 2014 and are planned for the years ahead. In each case the findings are/will be as widely disseminated as possible 
and used as the basis for policy recommendations at both national and European level. 

Indicator  2: Number  of  Member  States  implementing  entrepreneurship  solutions  targeting  potential,  young,  new  and  female 
entrepreneurs, as well as other specific target groups 

Baseline 
201375 

2014 

2015 

Milestones foreseen 

2016 

New data on entrepreneurship 
education anticipated in 2015 

Actual results 

12 Member States in the 
European Network of 
Mentors for Women 
Entrepreneurs 
6 Member States and 2 
regions have a specific 
strategy for 
Entrepreneurship 
Education 
10 Member States have 
incorporated national 
objectives related to 
entrepreneurship 
education in broader 
lifelong learning 
strategies and in 8 
Member States 
entrepreneurship 
strategies are currently 
under discussion 

5 MS and 1 region have a specific 
strategy for Entrepreneurship 
Education 
14 MS and 2 regions have national 
objectives related to 
entrepreneurship education in a 
broader strategy  
2 MS have a specific strategy in 
development 
All MS implement specific actions 
for women entrepreneurs. Croatia 
has a national strategy for women 
entrepreneurship. 
The Women Entrepreneurship 
network (WES) is a policy network 
from national government or 
agencies working on women 
entrepreneurship and includes the 28 
EU MS plus 3 COSME countries.   
All MS will join the European e-
platform that the Commission is 
currently preparing by providing 
links to national/ regional one stop 
shops to assist women to start-up 
and grow their enterprises as well as 
to mentor and network. 
18 MS took part at the European 
Network of Female 
Entrepreneurship Ambassadors  plus 
4 COSME associated European 
countries 
12 MS took part at the European 
Network of Mentors for Women 
Entrepreneurs plus 5 COSME 
associated European countries 

Expenditure related outputs 

Outputs 

Studies, campaigns, events 
Number of exchanges 
Total 

6 COSME 
countries76 and 4 
regions have a 
specific strategy 
for 
Entrepreneurship 
Education while 
18 
countries/regions 
have a broader 
strategy that is 
related to 
entrepreneurship 
education 

All MS join the 
European e-
platform for 
women 
entrepreneurs 
that the 
Commission 
launched in 
2016, providing 
links to national/ 
regional one stop 
shops to assist 
women to start-
up and grow 
their enterprises 
as well as to 
mentor and 
network. 

The new EU 
Women 
Business Angels 
Network covers 
14 MS 

Budget line 

02 02 01 
02 02 01 

2018 

2019 

Target 2020 

Marked increase in 
number of 
Member States 

2017 
12 MS 
implementing 
new initiatives 
in this area 
(potential, 
young, new and 
female 
entrepreneurs) 

Data on 
entrepreneurship 
education and 
on women 
entrepreneurship 
included for 
2016 remain 
valid  

In addition, 11 
MS participate 
in projects to 
improve and 
extend support 
programmes for 
migrant 
entrepreneurs. 

Draft Budget 2019 

Number 

EUR million 

75 The main focus of EU action in entrepreneurship is on support to entrepreneurship education, as this is one of the areas showing the best return on investment and 
on Erasmus for Young Entrepreneurs (EYE). This programme gives new entrepreneurs know-how on starting and running a business through exchanges with 
experienced entrepreneurs in another Member State. It offers a unique opportunity for cross-border mobility with the goal of strengthening the business skills and 
knowledge of both new and experienced entrepreneurs. EYE has been evaluated positively in 2014 and is now being ramped up. 
76 http://ec.europa.eu/DocsRoom/documents/21365 

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Outputs 

1.Studies,campaigns, events 

2.Number of exchanges 

2014(*) 
6 
17 
663 

F 
P 
F 
P 

* currently there has been an overall total of 5800 exchanges 

Number of outputs foreseen (F) and produced (P) 
2017 
11 
6 
1398 

2016 
11 
11 
1241 

2018 
12 

1635 

2015 
10 
10 
800 

2019 
12 

1806 

2020 
12 

1993 

Specific Objective 3: to improve access to finance for SMEs in the form of equity and debt 
Indicator 1: Number of firms benefiting from debt financing 

Baseline 
2013 

2014 

2015 

2016 

Milestones foreseen 

2017 
Value of financing 
mobilised ranging from 
EUR7 billion to EUR10.5 
billion; number of firms 
receiving financing which 
benefit from guarantees 
from the programme 
ranging from 108,000 to 
161,000 (COSME Loan 
Guarantee Facility) 

COSME LGF: EUR 10.4 
billion of financing 
mobilised & 237,396 
SMEs financed85 

2018 

2019 

Target 2020 

Value of financing 
mobilised ranging from 
EUR14 billion to 
EUR21 billion; number 
of firms receiving 
financing which benefit 
from guarantees from 
the programme ranging 
from 220,000 to 
330,000 (COSME Loan 
Guarantee Facility78  
targets) 

As of 31 December 
2013, EUR16.1 
billion in financing 
mobilised, reaching 
312,000 SMEs (CIP 
SMEG)77 

COSME LGF (Loan 
Guarantee Facility)79 

CIP SMEG: EUR 19.3 
billion in financing 
mobilised & 368,000 
SMEs having received 
financing80 

COSME LGF: EUR 
1.3 billion of 
financing mobilised 
& 53,433 SMEs 
having received 
financing81 

CIP SMEG: EUR 
20.7 billion in 
financing mobilised 
& 381,592 SMEs 
having received 
financing82 

Actual results 
COSME LGF: 
EUR: EUR 5.5 
billion of 
financing 
mobilised & 
143,344 SMEs 
having received 
financing83 

CIP SMEG: EUR 
21.1 billion of 
financing 
mobilised & 
385,772 SMEs 
having received 
financing84 

Indicator 2: Number of venture capital investments from the COSME programme and overall volume invested 

Baseline 2013 

2014 

2015 

2016 

As of 31 December 2013, 
EUR2.8 billion in VC 
funding mobilised to 334 
SMEs86 

2018 

2019 

2017 
Overall value of VC 
investments ranging 
from EUR0.7 billion 
to EUR1.1 billion; 
number of firms 
receiving VC 
investments from the 
Programme ranging 
from 100 to 15087 

Actual results 

Target 2020 

Overall value of VC 
investments ranging 
from EUR2.6 billion to 
EUR3.9 billion; number 
of firms receiving VC 
investments from the 
Programme ranging 
from 360 to 540 
(COSME Equity Facility 
for Growth88  targets) 

77 EIF quarterly report as of 31 December 2013 for the SME Guarantee Facility (SMEG) under the 2007-2013 Competitiveness and Innovation Programme (CIP). 
78  The programme will run from 2014 until 2020. 
79   COSME Delegation Agreement signed on 22/07/2014. Call for expression of interest published on 04/08/2014. 
80   EIF quarterly report as of 31 December 2014 for the SME Guarantee Facility (SMEG) under the 2007-2013 Competitiveness and Innovation Programme (CIP). 
81   EIF quarterly operational report as at 31 December 2015 for the COSME Loan Guarantee Facility 
82  
83   EIF quarterly operational report as at 31 December 2016 for the COSME Loan Guarantee Facility 
84   EIF quarterly report as at 31 December 2016 for the SME Guarantee Facility (SMEG) under the 2007-2013 Competitiveness and Innovation Programme (CIP). 
85   EIF quarterly operational report as at 30 September 2017 for the COSME Loan Guarantee Facility 
86   EIF quarterly report as of 31 December 2013 for the High Growth and Innovative SME Facility (GIF) under the 2007-2013 Competitiveness and Innovation 

 EIF quarterly report as of 31 December 2015 for the SME Guarantee Facility (SMEG) under the 2007-2013 Competitiveness and Innovation Programme (CIP). 

Programme (CIP). 

87 These numbers take into account that investing by VC Funds is spread over 4-5 years after commitment. 
88 The programme will run from 2014 until 2020. 

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COSME EFG 
(Equity Facility 
for Growth)89 

CIP GIF: EUR 3 
billion in VC 
funding 
mobilised to 446 
SMEs90 

COSME EFG: 
First fund 
agreements 
signed end of 
2015 

COSME EFG: 
EUR 0.06 billion 
of investments 
mobilised to 12 
SMEs92 

CIP GIF: EUR 
3.1 billion in VC 
funding 
mobilised to 514 
SMEs91 

CIP GIF: EUR 
3.1 billion in VC 
funding 
mobilised to 550 
SMEs93 

COSME EFG: 
EUR 0.2 
billion of 
investments 
mobilised to 26 
SMEs94 

CIP GIF: EUR 
3.4 billion in 
VC funding 
mobilised to 
577 SMEs95 

2015 

Milestones foreseen 
2016 

2017 

2018 

2019 

Target 2020 

Indicator 3: Leverage ratio 

Baseline 
2012 

2014 
Disbursement 
of financing 
will start in 
2015 for the 
LGF and in 
2016 for the 
EFG 

Leverage ratio for the 
SMEG facility 1:32 
Leverage ratio for GIF 
1:6.7 

Not available 
yet 

Not 
available yet 

Indicator 4: Additionality of the EFG and LGF 

Debt instrument 
1:20 – 1:30 Equity 
instrument 1:4- 
1:6 

Actual results 

COSME LGF: 
Target leverage of 
1:33 & achieved 
leverage of 1:1297 

COSME LGF: 
Target leverage of 
1:30 & achieved 
leverage of 1:1399 

COSME EFG: 
Target leverage of 
1:5 & achieved 
leverage of 
1:0.298 

COSME EFG: 
Target leverage of 
1:3 & achieved 
leverage of 
1:0.5100  

Milestones foreseen 

Baseline 
2012 
Additionality of the 
SMEG: 64% of final 
beneficiaries indicated that 
support was crucial to find 
the finance they needed. 
Additionality of the GIF: 
62% of GIF final 
beneficiaries indicated that 

2014 

2015 

2016 

This indicator 
will be measured 
as part of the 
interim and final 
evaluations of 
COSME 

2018 

2019 

2017 
Share of final 
beneficiaries that 
consider the EFG or 
the LGF to provide 
funding that could not 
have been obtained by 
other means equal to or 
higher than the 
baseline 

Debt instrument 1:20 
– 1:30 
Equity instrument 
1:4- 1:696 

Target 2020 

Increase in the share 
of final beneficiaries 
that consider the EFG 
or the LGF to provide 
funding that could not 
have been obtained by 
other means 
compared to baseline 

89   COSME Delegation Agreement signed on 22/07/2014. Call for expression of interest published on 04/08/2014. 
90   EIF quarterly report as of 31 December 2014 for the High Growth and Innovative SME Facility (GIF) under the 2007-2013 Competitiveness and Innovation 

Programme (CIP). 

91   EIF quarterly report as of 31 December 2015 for the High Growth and Innovative SME Facility (GIF) under the 2007-2013 Competitiveness and Innovation 

Programme (CIP). 

92   EIF quarterly operational report as at 31 December 2016 for the COSME Equity Facility for Growth. 
93   EIF quarterly report as of 31 December 2016 for the High Growth and Innovative SME Facility (GIF) under the 2007-2013 Competitiveness and Innovation 

Programme (CIP). 

94   EIF quarterly operational report as at 30 September 2017 for the COSME Equity Facility for Growth. 
95   EIF quarterly report as of 30 September 2017 for the High Growth and Innovative SME Facility (GIF) under the 2007-2013 Competitiveness and Innovation 

Programme (CIP). 

96 EUR 1 from the Union budget will result in EUR 20-30 in financing and EUR 4-6 in equity investments over the lifetime of the COSME programme. 
97   EIF quarterly operational report as at 30 September 2016 for the COSME Loan Guarantee Facility (LGF) with the target leverage being the maximum amount 
of financing available to SMEs under the guarantee agreements signed as at 30 September 2016 divided by the total EU Contribution Committed towards the 
LGF at the same date and the achieved leverage being the actual amount of financing made available to SMEs as at 30 September 2016 under these agreements 
divided by the total EU Contribution Committed 

98   EIF quarterly operational report as at 30 September 2016 for the COSME Equity Facility for Growth (EFG) with the target leverage being the maximum 

amount to be invested into final recipients under the fund agreements signed as at 30 September 2016 divided by the total EU Contribution Committed towards 
the EFG at the same date and the achieved leverage being the actual amount invested into final recipients as at 30 September 2016 under these agreements 
divided by the total EU Contribution Committed 

99   EIF quarterly operational report as at 30 September 2017 for the COSME Loan Guarantee Facility (LGF) with the target leverage being the maximum amount 
of financing available to SMEs under the guarantee agreements signed as at 30 September 2017 divided by the total EU Contribution Committed towards the 
LGF (increased by the actual EFSI exposure) at the same date and the achieved leverage being the actual amount of financing made available to SMEs as at 30 
September 2017 under these agreements divided by the total EU Contribution Committed (increased by the actual EFSI exposure). 

100   EIF quarterly operational report as at 30 September 2017 for the COSME Equity Facility for Growth (EFG) with the target leverage being the maximum 

amount to be invested into eligible final recipients under the fund agreements signed as at 30 September 2017 divided by the total EU Contribution Committed 
towards the EFG at the same date and the achieved leverage being the actual amount invested into eligible final recipients as at 30 September 2017 under these 
agreements divided by the total EU Contribution Committed. 

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the finance they needed 

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DB2019 

Actual results 

NA 

NA 

NA 

LGF: 63% of final 
recipients consider 
that funding 
provided could not 
have been obtained 
by other means * 

EFG: NA (due to 
limited number of 
final recipients no 
meaningful 
evaluation of 
additionality 
possible at the stage 
of the mid-term 
evaluation) 

*COSME mid-term evaluation 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

No. of SME beneficiaries (loan guarantees) 

02 02 02  Estimated between 47 000 to 71 000 SMEs101   

Loan volume (EUR million) 

No. of SME beneficiaries (equity) 

02 02 02  Estimated between 30 to 50 SMEs103 

EUR million leveraged (equity) 

Estimated between EUR 3.0 to EUR 
4.6 billion102 

Estimated between EUR 0.2 to EUR 
0.4 billion104 

Total 
The figures will be available in March-April, once the preparation of the COSME Work Programme for 2018 will be sufficiently advanced. 

Outputs 

1.No. of SME beneficiaries (loan guarantees) 

Loan volume (EUR million) 

No. of SME beneficiaries (equity) 

EUR million leveraged (equity) 

2014(*) 
25 905 
0 
1.684 
0 
42 
0 
311 
0 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
176 195 

2018 
139 198 

Cumulative number of outputs foreseen (F) 105 and produced (P) 
2017 
106 501 
237 396106 
6.923 
10.402107 
175 
26108 
1.278 
148109 

2016 
78 136 
143 344 
5.079 
5.547 
128 
12 
938 
64 

2015 
51 952 
53 433 
3.377 
1.292 
85 
0 
623 
0 

11.453 

9.048 

2.114 

1.670 

228 

289 

2020 
220 649 

14.342 

362 

2.648 

 (*)The 2014 financial year focused on a smooth transition between the financial instruments under the former Competitiveness and Innovation 
Programme (CIP) and the new COSME programme. Financial instruments under the former CIP demonstrated their European added value over 
2007-2013. They continued to deliver also after 2013 with an additional 77 800 SMEs having received EUR 5.1 billion of financing thanks to the 
CIP SMEG and an additional 243 SMEs having profited from EUR 0,6 billion of VC funding between 2014 and 2017110. 

Specific Objective 4: to improve access to markets, particularly inside the Union but also at global level 
Indicator  1: International  Industrial  Cooperation  –  Number  of  cases  of  improved  alignment  between  Union  and  third  countries’ 
regulations for industrial products 

Baseline 
2013 

2014 

2015 

It is estimated that in 
regulatory cooperation 

No data available 
yet* 

Milestones foreseen 

2016 
During this year in 
regulatory co-
operation 

2017 

2018 

2019 

3 relevant areas 

Target 2020 

4 relevant areas of 
significant alignment of 
technical regulations 

101 Number of SMEs computed based on the leverage target of COSME which calls for a leverage of 20 to 30 for the debt instrument, referring to new SME loan 

portfolios built during the whole availability period (usually two to 3 years) of individual transactions signed with financial intermediaries under the 2019 budget. 
102 Volume of financing computed based on the leverage target of COSME which calls for a leverage of 20 to 30 for the debt instrument, referring to new SME loan 
portfolios built during the whole availability period (usually two to 3 years) of individual transactions signed with financial intermediaries under the 2019 budget. 
103 Number of SMEs computed based on the leverage target of COSME which calls for a leverage of 4 to 6 for the equity instrument, referring to investments made 

during the investment period (usually four to five years) of risk capital funds in which EFG investments were authorised from the 2019 budget. 

104 Volume of investments computed based on the leverage target of COSME which calls for a leverage of 4 to 6 for the equity instrument, referring to investments 

made during the investment period (usually four to five years) of risk capital funds in which EFG investments were authorised from the 2019 budget. 

105   The cumulative numbers related to 'outputs foreseen' are computed on the basis of the adopted 2014-2020 MFF figures for BL 02.0202, with an allocation of 
52% towards the LGF and 48% towards the EFG, in accordance with the legislative financial statement accompanying the Commission proposal for the 
establishment of the COSME programme. 

106  
107  
108  
109  
110  

As at 30 September 2017 
As at 30 September 2017 
As at 30 September 2017 
As at 30 September 2017 
As at 30 September 2017 

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with main trading partners 
(US, Japan, China, Brazil, 
Russia, Canada, India) 
there is an average of 2 
relevant areas of 
significant alignment of 
technical regulations 

with 3 of our main 
trading 
partners(China, 
Japan and USA)  
we can estimate 
that there is an 
average of more 
than 2 relevant 
areas of significant 
alignment of 
technical 
regulations 

Actual results 

with main trading 
partners (US, Japan, 
China, Brazil, Russia, 
Canada, India) 

*The  indicator  "Number  of  cases  of  improved  alignment  between  Union  and  third  countries’  regulations  for  industrial  products"  should  be 
measured with caution as we cannot require a third country  - US, Japan, China, Canada - to align with our EU technical regulations. Actually, 
neither party can impose its system on the other. What we do with some of these countries is to have a regulatory cooperation/dialogue in view of 
seeking more convergence or compatibility in technical regulations and conformity assessment procedures. With respect to standards we promote 
greater acceptance of international standards. 
Thus when it comes to specific results requested by the indicator there are not any specific achievements. Regulatory co-operation with trade 
partners have been more relevant with China, Taiwan, Japan. 
In the case of Japan, our regulatory dialogues have been in interaction with the current Free Trade Agreement (FTA) negotiations and regulatory 
dialogues have contributed to further alignment on technical regulations in the sectors of automotive, medical devices, cosmetics and chemicals. 
Progress was made in the area of conformity assessment, standardisation, electrical equipment. 
In the case of China regulatory dialogues have been conducted to progress on the areas of conformity assessment, standardisation, motor vehicles' 
safety  and  emissions,  electrical  and  pressure  equipment,  toys,   medical  devices,  cosmetics,  SME  policy,  raw  materials,  energy  efficiency  and 
emissions reduction in industry, tourism and public procurement. 
We  also  have  an  industrial  dialogue  with  Taiwan,  covering  digitalisation  of  industry  /ICT,  circular  economy,  SMEs  internationalisation  and 
cluster cooperation since 2015. 
Indicator 2: Enterprise Europe Network - Number of partnership agreements signed 

Baseline 
2012 

2475 (2012) 
2295 (2013) 

2014 

2015 

2016 

2017 
7500 (3Y) 

2018 

2019 

Milestones foreseen 

Actual results 

2924 
Indicator 3: Enterprise Europe Network – Recognition of the Network amongst SME population 

2636 

2924 

2397 

Baseline 

2014 

To be measured in 2015-
2016 

Milestones foreseen 

2016 

2017 

2018 

2019 

2015 
Milestone to be 
determined once 
baseline has been 
set in 2015-2016 

Actual results 

8% of SME have 
heard about EEN 
services 
(Eurobarometer 2015 

8% of SME have 
heard about EEN 
services 
(Eurobarometer 
2015) 

No 
measurement 
in 2017 

No 
measurement 
planned for 
2018 

Target 2020 

2 500/ year 

Target 2020 

Increase in the 
recognition of the 
Network amongst 
SME population 
compared to baseline 

Indicator 4: Enterprise Europe Network  – Clients satisfaction rate  (% SMEs stating  satisfaction, added-value  of specific service 
provided by the Network) 
Baseline 
2013 

Milestones foreseen 

Target 2020 

2018 

2014 

2015 

2017 

2019 

2016 
Survey 
foreseen in 
2017, after the 
first 
operational 
period 

86% rated services as 
‘Good/Very good’ 

No data 
available yet 

No data 

80% 

>82% 

No data 

No data 

No data 

86% 

Actual results 

NB Surveys are organized every 2-3 years only.  
Indicator 5: Enterprise Europe Network – Number of SMEs receiving support services 

Baseline 
2011 

435 000 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

2014 
435,700 (2013) 
490,000 (2012) 

522,725 

254,057 

254,057 

*Data n.a. 

Actual results 

Target 2020 

500 000/year (original 
calculation method) 
275 000/year(revised 
calculation method)** 

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* Numbers for 2017 are not available yet because of the 2-year duration of the grants, however about 254.000 SMEs received support in 2016 and 
it is expected to be similar for 2017.  The result is lower than the originally target value because of a new method for calculating this indicator 
(and not because of lower service level from the Network).  
**  The  revised  calculation  method  follows  the  Network  request  to  reduce  the  administrative  burden,  and  asks  the  Network  to  report  on  high-
value-added  services  only.   Network  partners  keep  on  providing  information  services  to  large  numbers  of  SME  clients,  but  no  longer  need  to 
record them. 
Indicator  6: Enterprise  Europe  Network  –  Number  of  SMEs  using  digital  services  (including  electronic  information  services) 
provided by the Network 
Baseline 
2012 

Milestones foreseen 

Target 2020 

2018 

2016 

2015 

2019 

2014 
n.a. yet 

2017 
2,2 million 

2 million SMEs 

Actual results 

Not measured   10.5 million 

15.5 million 

Expenditure related outputs 

Outputs 

Budget line 

Enterprise Europe Network – Partnership proposals 
Enterprise Europe Network – SMEs receiving support services (per 1000 SMEs) 
SME business support in markets outside the EU - Studies 
SME business support in markets outside the EU - SME centres; SME helpdesks 
SME business support in markets outside the EU - Platforms, events, promotion activities 
International Industrial Cooperation –Workshops, meetings 
Total 
* The figures will be available in April, once the Work Programme 2019 figures are submitted for individual projects. 

02 02 01 
02 02 01 
02 02 01 
02 02 01 
02 02 01 
02 02 01 

2,3 million SMEs/ 
year 

Draft Budget 2019 

EUR million 

Number 
6337 
270 

Outputs 

Number of outputs foreseen (F) and produced (P) 
2017 
6 041 
6672 
260 
255 
14 

2016 
5 901 
7750 
250 
254 
15 

1.Enterprise  Europe  Network  –  Partnership 
proposals 
2.Enterprise Europe Network  – SMEs receiving 
support services (per 1000 SMEs 
3.SME  business  support  in  markets  outside  the 
EU - Studies 
4.SME  business  support  in  markets  outside  the 
EU - SME centres; SME helpdesks 
6.International 
Workshops, meetings 
The actual final numbers for 2017-2018 for the EEN will become available with the final reporting which is due in February 2019. 

2014(*) 
5 697 
9169 
403 
522 
10 
11 
5 
5 
5 
6 

2015 
5 793 
7500 
250 
254 
12 

Industrial  Cooperation 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

2020 
6 576 

2018 
6 122 

2019 
6 337 

9 
7 

265 

270 

275 

8 
7 

8 
7 

15 

18 

20 

10 

12 

14 

9 

7 

6 

7 

7 

7 

–

5. Programme contribution to the Sustainable Development Goals 

COSME projects support the following Sustainable Development Goals  
Goal 8 (promote sustained inclusive and sustainable economic growth, full and productive employment and decent work for all)  
Ex:  Entrepreneurship  projects  to  strengthen  entrepreneurship  education,  mentoring,  guidance  and  other  support  services.  Help 
businesses access opportunities offered by digital technologies and support the digital single market strategy. Projects such as the 
"Watify  awareness  campaign"  aim  to  boost  technological  transformation  through  digitisation  and  the  uptake  of  advanced 
technologies,  especially  key  enabling  technologies  (also  applies  to  goal  n°  9).    Companies,  public  administration  and  other 
stakeholders  access  practical  information  for  doing  business  in  the  Single  Market  via  the  Your  Europe  Business  portal.    Social 
economy projects work to strengthen the links between traditional and social economy enterprises. 
Goal 9 (build resilient infrastructure, promote inclusive and sustainable industrialisation and foster innovation). 
Ex: projects to modernise industry, targeted financing for SMEs, Cluster partnerships, Smart specialisation, promote new skills. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Financial Instruments https://ec.europa.eu/growth/access-to-finance/cosme-financial-instruments_en 

7. Programme related additional information 

Implementation aspects: 
The  financial  instruments111  under  the  COSME  programme  (Competitiveness  of  Enterprises  and  Small  and  Medium-sized 
Enterprises) were launched in 2014. COSME is the direct successor of the CIP (Competitiveness and Innovation Programme). With 
a  budget  of  EUR  1.2  billion,  the  CIP  financial  instruments  mobilised  more  than  EUR  20  billion  of  loans  and  EUR  3  billion  of 

111 http://ec.europa.eu/growth/access-to-finance/cosme-financial-instruments/index_en.htm 

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venture capital to around 378 000 SMEs in Europe (with a leverage effect of loan guarantee 1:32). In other words, each euro of EU 
budget generated EUR 32 in loans and EUR 5.5 of venture capital for SMEs112. 

The  financial  instruments  in  the  form  of  guarantee  schemes,  risk-sharing  facilities  and  equity  and  quasi-equity  support  were 
designed to facilitate access to loans and equity finance for small businesses and to act as catalysts for public and private investors.  

Under  the  High  Growth  and  Innovative  SME  Facility  (GIF)  of  CIP,  47  GIF  transactions  with  venture  capital  funds  targeting 
investments  in  26  participating  countries  were  approved,  committing  EU  investments  of  EUR  587  million.  Fourteen  of  these 
venture  capital  funds  invested  fully  in  eco-innovation  across  Europe,  while  two  funds  invested  at  least  30%  in  eco-innovation, 
supported by EU commitments of about EUR 239 million.  Under the SME Guarantee Facility, 103 transactions with 46 financial 
intermediaries from 21 countries were approved. The EU committed EUR 637.8 million.  

The Enterprise Europe Network brought together business support organisations from more than 50 countries. It has been in contact 
with  more  than  two  million  SMEs  each  year.  More  than  half  of  the  SMEs  which  used  the  services  of  the  Enterprise  Europe 
Network confirmed that they had accessed new markets or developed new products. The total impact on sales growth is estimated 
at EUR 625 million. Between 2008 and 2012, 4 429 jobs have been created by firms under partnership agreements.  

Assessment of the extent to which the programme has contributed to policy achievements: 

The programme  was also instrumental in  supporting innovation policy and  making sector conditions as  well as business support 
more  innovation-friendly.  Europe  INNOVA  was  the  laboratory  for  the  development,  testing  and  promotion  of  new  tools  and 
instruments in support of innovation, with a view to helping innovative enterprises to innovate faster and better. Thus, it has served 
as a pan-European platform for innovation professionals, enabling them to discuss, develop, test and exchange ‘better practices’ in 
support  of  innovative  SMEs  and  to  contribute  to  a  better  understanding  of  the  innovation  patterns  in  different  sectors.  Europe 
INNOVA was focused around three European Innovation Platforms (IPs) addressing issues related to knowledge-intensive services 
(KIS)  cluster  cooperation  and  eco-innovation.  Under  each  IP,  public-private  partnerships  developed  and  tested  new  innovation 
support services for SMEs.  

The EIP has helped to boost the competitiveness of the construction industry, which occupies an important place in the  European 
economy.  The  programme  supported  various  competitiveness  analyses  of  the  construction  sector.  The  conclusions  and 
recommendations provided key input to EU policies on the sector, namely the Communication COM(2012)433 on “Strategy for the 
sustainable competitiveness of the construction sector and its enterprises” of 2012.  

The programme has boosted entrepreneurship and a culture of innovation by its common initiatives in the areas of entrepreneurship 
education  and  female  entrepreneurial  activity.  The  Commission  supported  sixteen  Europe-wide  projects  in  the  field  of 
entrepreneurship education. They served as models for new methods of entrepreneurship education in the Member States. The first 
nine projects were estimated to involve around 70 000 students and young people and some 900 teachers.  

The programme also played a part in economic and administrative reforms, e.g. by helping to reduce regulatory and administrative 
burdens.  The  Commission  adopted  in  2007  an  Action  Programme  for  Reducing  Administrative  Burdens  on  business  stemming 
from EU legislation by 25% by 2012. By the end of 2012, the Commission had proposed measures that could lead to savings of 33 
% (more than EUR 40 billion). 

Assessment of the extent to which the programme has generated EU added value: 

The added value of the programme was to target transnational problems and market failures through instruments designed to foster 
pan-European  cooperation  and  developments.  The  access  to  finance  instruments  had  excellent  results  in  a  period  where  the 
availability of banking loans in the EU was its lowest peak since the creation of the Euro Zone. The EEN has contributed in many 
ways to help SMEs innovate, internationalise and find partnerships with enterprises established in other EU Member States.  The 
programme  has  financed the  first  year of the Erasmus  for Young Entrepreneurs as a pilot that grows every  year, turning  into an 
established activity. 

112 COM(2015)565final - Annex to the Report from the Commission to the European Parliament and the Council on financial instruments supported by the general 
budget according to Art.140.8 of the Financial Regulation as at 31 December 2014, complemented by latest figures as at 30 September 2015 on implementation of 
the SME Guarantee Facility (SMEG) and the High Growth and Innovative SME Facility (GIF) under CIP provided by the EIF in their quarterly reports  

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HEADING 1A: Competitiveness for growth and jobs 

The Union Programme for Education, Training, Youth and Sport (Erasmus+) 
Lead DG: EAC 

I. Programme Overview 

What the programme is about? 

Erasmus+  is the  EU's flagship programme to support and strengthen education, training,  youth and sport in Europe.  For three 
decades, Erasmus+ and its predecessors have been offering opportunities to young people, students and adults to study, train, 
gain experience, and volunteer abroad, in Europe or beyond. What started as a modest mobility scheme for higher education 
students back in 1987 – with only 3 200 students in its first year – has developed into one of the most successful EU programme, 
with a well-known brand name that projects a positive image of the Union, well beyond its borders.  With a budget of EUR 16.4 
billion  for  the  2014-2020  period,  the  programme  helps  participants  to  build  resilience,  adapt  to  the  changing  environment,  seize 
new opportunities and to make the most of their talents. At the same time the programme promotes the understanding of European 
values, in particular solidarity and tolerance, reducing the perception of differences. 

EU added value of the programme 

As stressed in the conclusion of the 15 February 2018 Council meeting , there is a broad consensus that education plays a key role 
for Europe and its citizens in developing a European knowledge economy and building inclusive, skilled and cohesive societies 
based on common values and resilience and equipped with the skills for successful personal and professional development. The rich 
cultural diversity in Europe is reflected by its education and training systems  – a  strength that  needs to be  nurtured in a  holistic 
manner. Education and training is also a key driver for innovation, competitiveness and resilience in the global economy in times of 
rapid technological progress.  

Since its inception, the Erasmus program is recognized for developing a European dimension to education, notably in the area of 
higher education, where it has stimulated mobility of students and teachers. In the last three decades, major progress has also been 
made in harmonizing university degree structures and increasing the compatibility of higher education systems. Transparency of 
qualifications and skills for both learners and workers throughout Europe has improved as well. 

The EU value added of the programme derives from the cross-border character of the activities in the field, in addition to those 
developed at national or regional levels. Further, the Erasmus program guarantees that all Member States benefit from mobility and 
exchange of good practices in the area while ensuring optimal dissemination of results. Hence, EU action in the ground is a way of 
filling in the missing links, avoiding fragmentation and realising the potential of a border-free Europe.   
II. Programme Update 

Implementation Status (2014 -2017) 

With a total budget of EUR 14.7 billion under Heading 1 and EUR 1.7 billion under Heading 4 to support its strong international 
dimension,  the  implementation  of  Erasmus+  started  successfully  in  2014.  Since  then,  the  budget  of  the  Erasmus+  programme 
increased year on year, with a 17.52% increase in 2017, compared to 2016.  

The  programme  is  implemented  under  indirect  management  (72%  through  National  Agencies) and direct  management  (18% 
through the Executive Agency for Education, Audiovisual and Culture and 9% through DG EAC) modes. Despite Heading 4 funds 
being  only  available  at the end  of  2014, therefore  delaying the  launch of some international actions such as capacity building in 
higher education and international credit mobility, the programme is now at cruising speed, with a full budget absorption capacity. 
In line with previous years, the foreseen budget allocation for 2017 was as follow: 55% for Key Action 1, 22% for Key Action 2, 
4% for Key Action 3, 11% for International cooperation, 2% for Jean Monnet, and 2% for sport. The remaining 5% were allocated 
to NAs management fees (3%) and administrative expenditure (2%). 

As  in  previous  years,  while  maintaining  a  high  level  of  continuity,  in  2017,  the  Programme  demonstrated  its  flexibility  in 
addressing specific policy priorities through different actions. In particular, similar to 2016, greater emphasis  was put,  across all 
actions of the Programme, on activities that support social inclusion and equity in education, training, youth and sport - in line 
with  the  March  2015  Paris  Declaration  on  promoting  citizenship  and  the  common  values  of  freedom,  tolerance  and  non-
discrimination through education, and with the Action Plan on integration of third country nationals adopted by the Commission in 
June 2016.  

In the field of  higher education, in 2017, priority  was  given to enhancing the quality and relevance of students' knowledge  and 
skills, better use of ICT, better links between higher education institutions and employers or social enterprises. More than 287 000 
higher education student mobilities took place in 2017, therefore reaching over 1 million mobilities since 2014. 

With  regard  to  the  international  dimension,  Erasmus+  continued  to  provide  mobility  opportunities  for  higher  education  staff, 
students, young people and youth workers between Europe and the rest of the world. Youth and higher education cooperation with 
Partner Countries Neighbouring the EU was further intensified through relevant capacity building projects. In 2017, in addition to 
the existing Western Balkans Youth Window, an Eastern Partnership Youth Window with a focus on youth participation and youth 
entrepreneurship was set up and new youth and higher education windows for Tunisia were established. 

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In  the  field  of  school  education,  priority  was  given  to  strengthening  the  profiles  of  the  teaching  professions,  promoting  the 
acquisition  of  key  competences  e.g.  by  addressing  underachievement  in  the  basic  skills  of  maths,  science  and  literacy  and 
supporting multilingual classrooms. In line with the EU2020 headline target, DG EAC was also supporting schools to tackle early 
school  leaving  (ESL)  and  disadvantage  and  to  offer  quality  education,  enabling  success  for  all  pupils,  including  children  with  a 
migrant  background.  A  special  attention  was  given  to  efforts  to  increase  access  to  affordable  and  high  quality  early  childhood 
education and care. Access for schools to the Erasmus+ programme has been facilitated through introducing a new form of school 
exchange partnerships into the programme after close consultation with the national agencies. 

As  regards  vocational  education  and  training  (VET),  the  Erasmus+  programme  gave  priority  to  developing  VET  business 
partnerships aimed at promoting work-based learning in all its forms, with special attention to apprenticeship training, by involving 
social partners, companies and VET providers. Long term mobility (i.e. 3-12 months duration) of VET learners has been promoted 
through introducing the ErasmusPro activity into the Erasmus+ programme as of 2018. 

Furthermore, in the field of  adult education,  in 2017, priority  was  given to improving and extending the  supply of high quality 
learning opportunities tailored to the needs of individual low-skilled or low-qualified adults so they acquire literacy, numeracy or 
digital  skills,  including  through  the  validation  of  skills  acquired  through  informal  and  non-formal  learning.  Extending  and 
developing educators competences is also stressed as a priority for this sector. 

Activities in the youth field were prioritised on promoting young people's empowerment (with a special focus on access to rights, 
autonomy,  participation  –including  e-participation–  and  the  active  citizenship  of  young  people,  notably  those  at  risk  of  social 
exclusion) as well as on promoting quality youth work, with a view to, amongst others, fostering the inclusion and employability of 
young people with fewer opportunities and diverse background. 

Jean Monnet activities aim to increase interest in understanding and participating in the European Union leading to a more active 
citizenship  and  continue  to  reflect  the  political  priorities  of  the  Commission,  as  done  so  far  focusing  themes  such  as  migration, 
justice and fundamental rights, and EU as a stronger global actor. In 2017, the Jean Monnet activities supported modules, university 
chairs,  networks,  projects,  centres  of  excellence  and  associations  taking  place  in  30  European  Programme  Countries  and  69 
countries inside and outside Europe.  

Compared to the early years of the Erasmus+ program, since 2016, the Sport chapter has shifted focus towards grassroots sport 
with  the  creation  of  the  small  collaborative  partnerships,  and  in  general  on  all  sport  projects  aimed  at  increasing  the  level  of 
participation in sport and physical activity.  

Over the  years,  Erasmus+ registers a continuous and steady rise in the  overall  number  and quality of applications  for almost all 
actions. However, the very high numbers of eligible submissions significantly exceeds the financial resources of the programme: 
there is need and demand to invest even more in further enhancing the inclusiveness and accessibility of the programme. Doing so 
will  benefit  the  programme's  reputation,  will  raise  the  interest  of  stakeholders  in  European  cooperation,  and  will  strengthen 
Europe's innovation capacity  and expertise in order to support its ambition  to be the  world leader in scientific  fields such  as the 
environment, artificial intelligence or STE(A)M113. 

Key achievements 

Throughout 2017, the 'From Erasmus to Erasmus+' campaign celebrated the 30th Anniversary of Erasmus+ across the EU 
and beyond. The anniversary was an excellent occasion to showcase the impact of Erasmus+ and the previous programmes in the 
field of education, training, youth and sport and to reflect about its future. The campaign achieved impressive results: more than 
750  000  people  took  part  in  over  1  900  events  in  44  countries  to  celebrate,  discuss  the  impact  of  the  activities  supported  by 
Erasmus+, such as mobility and cooperation projects, and debate  on its future. 65 000 articles on the programme  were published 
and shared over two  million times on  social  media and reached over 90  million people.  In a celebration event in the  Parliament 
(Strasbourg) in June 2017, President Juncker called on EU leaders  to ensure the number of individuals participating in Erasmus+ 
should be doubled. 

In the context of the corporate digital transformation initiative and the Erasmus+ 30 years' campaign, the  new Erasmus+ Mobile 
App  was  launched  in  June  2017.  The  objective  of  this  mobile  application  is  to  help  students,  including  those  involved  in  an 
exchange from or to third countries outside Europe, apprentices and people involved in youth exchanges to be better prepared  for 
their  mobility.  The  app  allows  them  to  easily  keep  track  of  their  progress  in  the  different  steps  before,  during  and  after  their 
experience  abroad.  By  putting  Erasmus+  at  the  fingertips  of  participants,  the  app  has  not  only  facilitated  their  access  to  the 
programme,  but  it  will  also  bring  it  closer  to  young  people  in  Europe  and  beyond.  Since  its  launch,  the  app  has  already  been 
downloaded more than 27 000 times. 

Other new initiatives - such as the Erasmus+ virtual exchanges and network of role models – were implemented in 2017 with the 
aim  of  fostering  intercultural  dialogue  and  mutual  understanding,  combating  radicalisation  and  violence,  and  promoting  active 
participation of young people in society. In 2017, a brochure on the role models initiative was published and an EU Networking 
event  on  role  models  took  place  on  11  December.    Erasmus+  Virtual  Exchanges  aim  at  reaching  200  000  participants  by  2019. 
These exchanges will connect young people from Europe, the Southern Mediterranean, the Middle East and Africa, and provide a 
structured platform for sharing views and ideas, and collaborate on joint projects, all facilitated by trained moderators. 

113 Science, Technology, Engineering, the Arts and Mathematics 

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In 2017, the Commission also launched its new the SELFIE tool in a first pilot phase. SELFIE supports schools to reflect on their 
progress  regarding  the  use  of  digital  technologies  for  teaching  and  learning  and  take  next  steps  to  improve.  'SELFIE'  ("Self 
reflection on Effective Learning by Fostering Innovation through Educational Technology") consists of a series of questions that 
are  answered  anonymously  by  school  leadership,  teachers  and  students.  The  successful  pilot  phase  ran  between  September  and 
October 2017 in 650 schools from 14 countries and generated nearly 70 000 responses. As set out in the Digital Education Action 
Plan, in 2018 SELFIE will be further scaled up and made available in the 23 EU languages.   

2017 has also been significant in reaching out to its stakeholders and in fostering cooperation for innovation and the exchange of 
good practices,  with  more  than 40.000 registered users in the  School Education Gateway, more than 30 000 registered users in 
EPALE (Electronic Platform for Adult Learning in Europe), and more 500 000 registered users in eTwinning since its launch in 
2005  and  further  expansion  into  the  EU  Southern  Neighbourhood  (Jordan).  The  one-off  action  "Move2Learn,  Learn2Move" 
initiative offers a limited number of young Europeans the opportunity to travel to other EU countries as a concrete expression of 
youth learning mobility through the eTwinning network under the Erasmus+ Programme.  

The  eighth  edition  of  the  European  Youth  Week  took  place  across  Europe  from  1  to  7  May  2017  stretching  into  the  week  of 
Europe's day celebrations with in total almost 1 000 events across the EU (workshops, information stands, round tables, bike  tours, 
hikes, concerts, festivals and other activities, including one Citizens' Dialogue by Commissioner Navracsics and a Conference in 
Brussels). More than 112 000 young people participated in the various events. With the slogan "Shape it, move it, be it",  the event 
put the spotlight on inspiring stories of youth change-makers and their projects under Erasmus+ to encourage more young people to 
get  engaged.  To  illustrate  the  human  impact  of  the  programme,  stories  of  these  change-makers  were  shared  to  show  remarkable 
contributions to Europe's challenges, including solidarity, inclusion, democracy and active citizenship. 

The third edition of the  European Week of Sport reached record numbers of people:  more  than 37,000 events took place in 32 
countries  (up  from  15.000  in  2016),  encouraging  European  citizens  to  practice  physical  activity  and  follow  a  healthy  lifestyle. 
Celebrated from 23 to 30 September, this  flagship initiative included activities all across Europe,  with the  support of 34 national 
coordinators and 38 European partners, mainly sport organisations. Pending final figures, it is estimated that this year's campaign 
may have reached about 16 million participants, all following the motto #BeActive.  

The first ceremony of the #BeInclusive EU sport award took place on 22 November 2017, recognising sport organisations working 
with  ethnic  minorities,  refugees,  people  with  disabilities,  youth  groups  at-risk,  or  any  other  group  that  faces  challenging  social 
circumstances. The three winners were awarded with a 10,000 euro prize.  

Project  participants,  national  authorities  and  stakeholders  expressed  a  high  level  of  appreciation  for  the  programme's  structure, 
integrating  formal  and  non-formal  contexts  at  all  levels  of  the  lifelong  learning  continuum,  and  for  its  inbuilt  flexibility  to 
accommodate  political  priorities,  challenges  and  needs.  Both  learners  and  staff  expressed  high  levels  of  satisfaction  from  their 
mobility  experiences  (93%  and  98%  respectively),  while  the  international  dimension  of  the  programme  has  proven  to  be  an 
important instrument to support the achievement of EU external policies.  

Furthermore,  independent  impact  studies  have  shown  how  Erasmus+  has  a  concrete  positive  effect  on  the  professional,  social, 
educational  and  personal  development  of  the  beneficiaries  by  improving  employability,  developing  new  skills  and  competencies 
and  improving  the  quality  of  education.    These  conclusions  are  confirmed  by  the  participants  surveys  where  more  95%  of  the 
participants  consistently  declare  that  they  have  increased  their  language  skills,  would  it  after  mobilities  in  higher  education, 
vocational and educational training or voluntary activities. 

Evaluations/Studies conducted 

The mid-term evaluation of Erasmus + carried out in 2017 shows that the programme is highly valued by stakeholders and general 
public and proved to be highly effective. Its EU added value is undisputed. Compared to its predecessors, Erasmus+ appears, in 
addition,  more  coherent,  more  relevant  and  more  efficient.  The  evaluation  confirms  that  Erasmus+  funds  are  insufficient  to 
cover the strong demand. The programme could easily absorb an overall budget increase with no structural change needed in its 
modus  operandi.  Depending  on  the  future  MFF,  expected  increases  (or  if  not  reallocations)  should  be  directed  to  those  sectors 
which show excellent performance but receive substantially less funding (schools, VET, youth). 

These findings about the current programme concur with the Report on the implementation of Erasmus+ adopted by the European 
Parliament  in  February  2017.  This  report  underlines  that  Erasmus+  is  'the'  success  story  of  the  European  Union  and  that 
improvements need to be pursued and consolidated within a stable framework. The evaluation is a building block of the new MFF 
proposals making a clear case for a stronger investment in education and training with a new emphasis on the younger generations 
and the most vulnerable groups.  

A crucial part of the EU's agenda for smart, sustainable and inclusive growth is bolstering Europe's education and training. With its 
international  comparison  and  country  analysis,  the  Education  and  Training  Monitor  fuels  the  debate  on  priority  themes  for 
education  and  training  and  informs  national  education  reform  debates.  Inequality  is  the  lead  theme  of  the  Monitor  2017  edition, 
intergenerational  educational 
reflecting  the  serious  challenges  facing  many  Europeans  today.  Whether  it  is  tackling 
underachievement or the difficulties facing low-skilled migrants, the EU member states employ education and training in different 
ways to achieve equity in their respective societies. 

In order to prepare the 2018 European Youth report and to feed the reflexion on the future EU Youth  Strategy  (proposals to be 
made  mid-2018)  a  Eurobarometer  survey  was  conducted  in  2017  to  look  at  the  situation  of  young  people  in  areas  such  as 

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participation  in  democratic  life,  non-formal  activities  and  volunteering.  Results  show  that  more  than  half  of  young  Europeans 
consider education and skills as the top priority that the EU should tackle. 

Forthcoming implementation (2018-2019) 

As in previous years, in 2018 the Programme will directly address, through different actions, specific policy priorities, especially in 
link  with  the  recommendations  from  the  Gothenburg  Summit,  of  November  2017,  followed  up  by  the  December  Council 
conclusions  to  work  towards  a  European  Education  Area  by  2025,  where  learning  mobility  would  be  the  norm,  where 
universities can cooperate seamlessly across borders, where it is normal to speak two languages in addition to the mother tongue, 
where higher education and school leaving diplomas are automatically and mutually recognized and where Europe would become a 
continent of excellence in education and research. 

In  terms  of  programme  implementation,  the  Commission  proposes  to  maintain  a  high-level  of  continuity  and  stability,  while 
improving  accessibility,  and  flexibility.  The  proposed  2018  activities  and  related  budgets  are  based  on  the  current  MFF 
programming.  The  fast-moving  political  environment  context  and  future  development  of  current  initiatives  could  modify  these 
initial assumptions for 2018.  

Within the current programme architecture to 2020, the Commission will step up its efforts to make Erasmus+ more accessible to 
individuals from disadvantaged backgrounds or with special needs. It will take steps to facilitate the participation of schools and 
other small-scale actors in the programme. As of 2018, new actions and activities will be launched under Erasmus+ with a view to 
increasing the number of mobility opportunities for school pupils, VET learners and apprentices as well as for young people along 
the  lines East-West and North-South Europe. The  Commission  will  also  make it easier to apply for grants by introducing online 
web forms. These incremental improvements will continue throughout the programme’s life. 

In  2019,  the  increase  of  the  whole  budget  for  Erasmus+  (Heading  1)  will  be  up  to  10.4  %  as  compared  with  the  2018  adopted 
budget : Education & Training will grow with 12.2%, Jean Monnet with 7.1 %  and Sport with 28.4%. For education and training, 
the  most significant increases  will be in Mobility actions, Strategic Partnerships and Knowledge and Sector Skills alliances.  The 
budget of Youth will decrease of about 8.2% as compared with the 2018 adopted budget considering the redeployment from Youth 
to the European Solidarity Corps. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 1288/2013 of the European Parliament and of the Council of 11 December 2013 
establishing 'Erasmus+': the Union programme for education, training, youth and sport and repealing 
Decisions No 1719/2006/EC, No 1720/2006/EC and No 1298/2008/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

14 774,5 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

10,4 
1 525,0 
23,4 
1 558,8 

11,0 
1 574,1 
23,0 
1 608,1 

10,4 
1 699,2 
25,1 
1 734,7 

11,7 
2 032,9 
25,6 
2 070,2 

11,9 
2 276,8 
25,8 
2 314,5 

12,1 
2 515,2 
27,2 
2 554,5 

12,4 
2 831,9 
27,1 
2 871,4 

Total 
Programme 
80,0 
14 455,1 
177,1 
14 712,2 

231,9 

223,5 

247,4 

259,8 

224,0 

228,0 

233,7 

1 648,3 

6,0 

5,5 

5,4 

5,9 

5,5 

5,1 

5,2 

38,5 

237,8 

229,0 

252,9 

265,6 

229,4 

233,1 

238,9 

1 686,8 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Erasmus+ - Contribution from external 
instruments - operational appropriations 
(Heading 4)* 
Erasmus+ - Contribution from external 
instruments to Executive Agency 
(Heading 4)* 
Total contribution from external 
instruments (Heading 4)* 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
2 070,157 

Impl. Rate 
100,00 % 

PA 
1 921,058 

Impl. Rate 
99,63 % 

CA 
2 314,549 

Impl. Rate 
66,91 % 

PA 
2 144,928 

Impl. Rate 
23,46 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

2 543,615 

2 338,962 

2 430,540 

2 395,685 

91,71 % 

66,01 % 

24,09 % 

93,09 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 

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Contribution to Europe 2020 priorities 

Priority 

Smart Growth (innovation, education, digital society) 
Inclusive Growth (employment and skills, fighting poverty) 
Total 

4. Performance information 
General objectives 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

1 488,5 
876,9 
2 365,4 

1 493,9 
1 161,3 
2 655,2 

General Objective 1: The Programme shall contribute to the achievement of the objectives of the Europe 2020 strategy, including 
the  headline  education target; the  objectives of the  strategic  framework  for European cooperation in education and training (''ET 
2020''), including the corresponding benchmarks; the sustainable development of partner countries in the field of higher education; 
the  overall  objectives  of  the  renewed  framework  for  European  cooperation  in  the  youth  field  (2010-2018);  the  objective  of 
developing  the  European  dimension  in  sport,  in  particular  grassroots  sport,  in  line  with  the  Union  work  plan  for  sport;  and  the 
promotion of European values in accordance with Article 2 of the Treaty on European Union. 
Indicator 1: % of 18-24 year-olds with only lower-secondary education who are not enrolled in education or training 

Baseline 
2013 

Latest known situation 
11,9% 

2014 
11,7 % 

2015 
11,4 % 

Milestones foreseen 

2017 
10,6% 

2016 
10,8% 
Actual results114 
10.7% 

10.6% 
Indicator 2: % 30-34 year-olds with completed tertiary or equivalent education 

11,2 % 

11,0% 

2018 
10,4% 

2019 
10,2 % 

Target 2020 

10 % 

Baseline 
2013 

2014 

2015 

2016 

2017 

Milestones foreseen 

Latest know situation 
37,1% 

37,9 % 

38,7 % 

39% 
Actual results115 
39.1% 

39.7% 

2018 

39,5% 

2019 

Target 2020 

At least  40 % 

Indicator 3: % of higher education graduates who have had a period of higher education-related study or training (including work 
placements) abroad 

Baseline 
2013 
2,9%  of EU  graduates 
qualified in a country other 
than the country in which 
they achieved their upper 
secondary diploma (degree 
mobility only)116 

2014 

2015 

2016 

2017 
17 % 

Milestones foreseen 

Actual results 

8 % 

2018 

2019 

Target 2020 

20 % 

Indicator 4: % of 18-34 year-olds with an initial vocational education and training qualification who have had an initial vocational 
education and training-related study or training period (including work placements) abroad 

Baseline 
2011 

2-3%117 

2014 

2015 

2016 

2017 
4 % 

2018 

2019 

Milestones foreseen 

3.1%118 

Actual results 

Indicator 5: number of staff supported by the Programme, by country and by sector 

Baseline 
2013119120 
- Higher education (HE):46 

2014 
49 

Milestones foreseen 

2015 

2016 
50 

2017 

2018 

2019 

Target 2020 

6 % 

Target 2020 

70 

114 In line with Eurostat latest data available: http://ec.europa.eu/eurostat/tgm/table.do?tab=table&init=1&language=en&pcode=t2020_40&plugin=1 
5 In line with Eurostat latest data available: http://ec.europa.eu/eurostat/tgm/table.do?tab=table&init=1&language=en&pcode=t2020_41&plugin=1 
116 The data collection is based on Commission Regulation 912/2013. The first full data transmission on learning mobility of tertiary graduates (degree and credit 
mobility) is scheduled under this Regulation for November 2017 (to be published spring 2018), referring to the academic year 2015/16. The partial estimate which is 
provided for 2013 will therefore be more complete for the academic year 2015/16. Graduates which are credit mobile during their studies include graduates who 
participated in the Erasmus+ EU programme. It is not possible to provide an estimation for 2014 at this stage and the 2017 milestone depends on better availability 
of data world-wide as well. 
117 Estimate on available data for annual participation in VET mobility under the Leonardo Da Vinci programme and from certain countries (SWD SEC (2011) 670 
on the development of benchmarks on education and training for employability and on learning mobility). 
118 Weighted average for 16 EU MSs where data are available through a Eurostat pilot collection (BE, BG, EE, ES, IT, LV, LT, HU, NL, AT, PL, PT, RO, SI, SK, 
SE). The final results can only be provided when all the projects have been finalised. 
119 Reporting on the performance of the programme in a specific year (n) including detailed reports (breakdown) on the indicators annexed to the basic act will be 
produced by Q2 of the following year (n+1) and published on the Erasmus+ website. Figures updated to EU 28. 
120 In line with DG EAC Strategic Plan 2016-2020 

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Number in 1 000 

- Vocational education and 
training (VET):9 
Number in 1 000 

- Schools: 13 
Number in 1 000 

- Adult: 2 
Number in 1 000 

- Youth: 16 
Number in 1 000 

Baseline 
2013 

Special needs (LLP) 8 
Number in 1 000 

Fewer opportunities 
(Youth) 18,7 
Number in 1 000 

43 
23 

20 
21 

18 
6 

5 
21 

45 

17 

18 

4 
21 

Actual results121 
46 
11 
Actual results 
18 
15 
Actual results 
21 
3 
Actual results 
4 
22 
Actual results 
29 

55 

18 

29 

6 
23 

2014 
15122 

9 
47 

40 

2015 

2016 

2017 
15 

10 

45 

Actual results123 
11 

15 
21,6 

Actual results 
52 

59 

32 
Indicator 6: number of participants with special needs or fewer opportunities 
Milestones foreseen 

34 

31 

15 

20 

5 

26 

24 

25 

2018 

2019 

Target 2020 

40 

37 

Indicator 7: number and type of organisations and projects, by country and by action 

Baseline 
2014 
Actions managed by NA 
(in 1000) 
Projects:  11 / 
organisations: 32 
managed by EACEA (in 
1000) Projects: 0,8 / 
organisations: 4 
Specific objectives 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

Target 2020 

2014 
11-32 

Actual results124 

NAs:  18 / 68 
EACEA: 0.7/2.2 

NAs: 19/67 
EACEA:  0.9/4 

NAs: 20/73 
EACEA:  1.1/5.6 

NAs: 21/80 
EACEA: 1.0/4.4125 

Specific Objective 1: to improve the level of key competences and skills, with particular regard to their relevance for the labour 
market and their contribution to a cohesive society, in particular through increased opportunities for learning mobility and  through 
strengthened cooperation between the world of education and training and the world of work; 
Indicator 1: % of participants declaring that they have increased their key competences 

Baseline 
2012 

2014 

2015 
83 % 

Milestones foreseen 

2016 

2017 
85 % 

2018 

2019 

Target 2020 

81 %126 

Actual results127 
92,8% 
Indicator 2: The number of pupils, students and trainees participating in the Programme, by country, sector, action and gender 

92,5% 

92,5% 

89,7% 

88 % 

Baseline128 
2013 

higher education (HE) : 
260 (in 1000) 

Vocational education and 
training (VET):41(in 1000) 

2014 
236 

234 
78 

90 

2015 
239 

239 
78 

96 

Milestones foreseen 

2017 
270 

2016 
248 
Actual results129 
256 
80 
Actual results130 
105 

290 
87 

127 

2018 
319 

2019 
356 

99 

121 

Target 2020 

412 

131 

121 Provisional data at awarded level based on participants regarding call year. The actual results are based on EU28. 
122 In line with DG EAC Strategic Plan 2016-2020 
123 Actual results are reported in EU 28 for all Key Action  in line with E+ annual report. Final figures can only be provided when selections will be finalised 
124 Number of participants in EU33 
125 The final figures can only be provided when selections will be finalised 
126 Erasmus impact study published in September 2014, "81% of Erasmus students perceive an improvement in their transversal skills when they come back". 
127 Result indicator: the final figures only available once all projects are finalised. Data extracted from finalised mobilities surveys in EU28, managing bodies only 
128 Figures updated to EU 28. 
129 The actual results are reported in EU 28 
130 The actual results are reported in EU 28 

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Expenditure related outputs 

Outputs 

Individual Mobility of Staff (HE – VET -  Schools – Adult) 
Students Mobility HE 
Students Mobility VET 
Erasmus Mundus Joint Masters 
Masters (Student loan guarantee facility) 
Operating grants for National Agencies 
Total 

Outputs 

Individual Mobility of Staff 
(HE,VET,Schools,Adult) 

Students Mobility HE 

Students Mobility VET 

Erasmus Mundus Joint Masters 

Masters (Student loan guarantee facility)132 

Operating grants for National Agencies 

2014 
71 541 
85 971 
223 857 
233 967 
77 554 
89 882 
1 608 
1 786 
10 964 
0* 
55 
55 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

Budget line 

15 02 01 01 
15 02 01 01 
15 02 01 01 
15 02 01 01 
15 02 01 01 
15 02 01 01 

Draft Budget 2019 

Number 
113 654 
309 060 
121 200 
5 300 
19 000 
55 

EUR million 
288.3 
641.2 
326.7 
122.4 
18.2 
87.9 
1484.7 

2019 
113 654 

280 781 

2018 
97 876 

Number of outputs foreseen (F) and produced (P)131 
2017 
90 191 
106 007 
239 142 
289 889 
87 227 
126 511 
4 000 
3 409 
19 426 
7 081 
55 
57 

2016 
76 326 
89 518 
236 207 
255 551 
81 777 
104 524 
3 400 
1 326 
20 890 
6 569 
55 
56 

2015 
72 474 
84 191 
224 286 
239 474  
77 650 
95 799 
2 800 
1 968 
12 764 
3 440 
55 
55 

99 328 

19 000 

4 600 

55 

55 

5 300 

19 000 

309 060 

121 200 

2020 
127 947 

356 074 

130 391 

5 700 

19 000 

55 

*The Facility has been established as from 2015 
Justification of changes to the financial programming and/or to the performance information 
As regard the Student Loan Guarantee Facility, DG EAC is keeping the implementation of the scheme under constant review with 
EIF  (European  Investment  Fund),  including  on  the  long-term  disbursement  schedule,  and  may  adapt  to  its  budgetary  needs 
accordingly.  2018  figures  onwards  have  been  updated  to  take  on  board  the  recalibration  discussions  with  the  EIF  as  regard  the 
future implementation of the instrument.     

Specific Objective 2: to foster quality improvements, innovation  excellence and internationalisation at the level of education and 
training institutions, in particular through enhanced transnational cooperation between education and training providers and  other 
stakeholders; 
Indicator 1: The number of users of Euroguidance 

Baseline 
2013133 

2 921 925 hits on Euro 
guidance websites 

11 411 participants in 
Euro guidance 
seminars/workshops 

2014 

2015 

2016 

2017 
5 million  

Milestones foreseen 

Actual results134 

3 561 668 visitors - 
Euro guidance 
Centre's website 
7 643 

5 000 000135  2 983 273136 

10 000  

Actual results137 

31 832 

30 463 

2018 

2019 

Target 2020 

10 000 000 

100 000 

Expenditure related outputs 

Outputs 

Strategic partnerships (School, HE, VET, Adult) 
Knowledge alliances/Sector Skills Alliances 
Web platforms 
Total 

Budget line 

15 02 01 01 
15 02 01 01 
15 02 01 01 

Draft Budget 2019 

Number 
3916 
42 
4 

EUR million 
569.8 
69.5 
28.0 
667.3 

131 Result indicator: the final figures can only be provided when all projects will be finalised. 
132  Output  measured  in  terms  of  volume  of  loans  made  available  in  any  year  of  the  scheme.  As  an  innovative  financial  instrument,  the  Erasmus+  Master  Loan 
scheme provides a partial guarantee of the loan portfolios of Financial Intermediaries, leveraging 6 times the value of the EU contribution as an investment in future 
mobility. Unlike other mobility parts of the Programme, the Erasmus+ Master Loan scheme does not directly finance mobilities in the year the budget is committed. 
The EU financing makes a certain number of loans available through financial intermediaries, however, both loans and mobilities may occur with some time-lag. 
This delay also operates in favour of the scheme, since financial intermediaries can sign up to the guarantee scheme until 2020, with the option to grant loans until 3 
years thereafter 
133 Based on 2013 final reports. 
134 The results for 2017 will be available mid-2018. 
135 According to Erasmus+ annual report. 2015. 
136 Cf. Euroguidance Synthesis report 2016 
137 The results for 2017 will be available mid-2018 

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Outputs 

Strategicpartnerships (School, HE, VET, Adult)138 

Knowledge alliances/Sector Skills Alliances139 

Web platforms 

2014 
1 739 
1 321 
13 
14 
4 
4 

F 
P 
F 
P 
F 
P 

2018 
3 545 

Number of outputs foreseen (F) and produced (P) 
2017 
3 026 
2 292 
48 
36 
4 
4 

2016 
1 863 
1 867 
42 
 35 
4 
4 

48 

2015 
1 780 
1 466 
20 
15 
4 
4 

4 

4 

42 

2019 
3 916 

2020 
4 515 

28 

4 

Specific Objective 3: to promote the emergence and raise awareness of a European lifelong learning area designed to complement 
policy reforms at national level and to support the modernisation of education and training systems, in particular through enhanced 
policy cooperation, better use of Union transparency and recognition tools and the dissemination of good practices; 
Indicator 1: % of participants who have received a certificate, diploma or other kind of formal recognition of their participation in 
the Programme 
Baseline 
2013 

Milestones foreseen 

Target 2020 

2018 

2014 

2016 

2019 

2015 
100 % 

2017 
100 % 

HE 100 % 

VET 65 % 

100% 

100% 
68 % 

71.2% 

73.6% 

Actual results140 
100% 

100% 
70 % 

Actual results141 
74.2% 

81.3% 

100 % 

75% 

Expenditure related outputs 

Outputs 

Support for policy reform 
Total 

Budget line 

15 02 01 01 

Draft Budget 2019 

Number 
n/a 

EUR million 
67.7 
67.7 

Specific Objective 4: to enhance the international dimension of education and training, in particular  through cooperation between 
Union and partner-country institutions in the  field of  VET and in higher education, by  increasing the attractiveness  of European 
higher  education  institutions  and  supporting  the  Union's  external  action,  including  its  development  objectives,  through  the 
promotion of mobility and cooperation between the Union and partner-country higher education institutions and targeted capacity-
building in partner countries; 
Indicator 1: The number of partner country higher education institutions involved in mobility and cooperation actions 

Baseline 
2013 

1 000143 

2014142 
0 

2015 

1 000 

2016 

1 100 

2017 

2018 

1 200 

Milestones foreseen 

1 

902 

Actual results144 
1 033 

853 

2019 

Target 2020 

1 300 

Indicator  2: The  number  of  higher  education  students  receiving  support  to  study  in  a  partner  country,  as  well  as  the  number  of 
students from a partner country coming to study in a Programme country 

Baseline 
2013 

HE students and staff 
going to a partner country 
(in 1 000) 

HE students and staff 
coming from a partner 
country (in 1 000) 

2014145 
0 

0 
0 

0 

2015 
3,8 

9 
15 

19 

Milestones foreseen 

2016 
4 
Actual results 
13 
16 
Actual results 
23 

2017 
4,3 

16 
17 

25 

2018 
3,6 

2019 
3 

14 

15 

Target 2020 

3,9 

15 

138 The number of strategic partnerships is lower than foreseen because the average grant size is higher than foreseen. Measures are being taken to reduce the 
average grant size in coming years. 
139 The number of Knowledge Alliances/Sector Skills Alliances is lower than foreseen  in 2015 and 2016 because the average grant size is higher than estimated 
140 Result indicator: the final results can only be provided when all the formal recognitions have been delivered (year N=3). 
141 Result indicator: the final results can only be provided when all the formal recognitions have been delivered (year N=3). 

142 International actions were only launched at the end of 2014. 
143 These figures come from the numbers of non EU HEIs having participated in Erasmus Mundus (EM) and Tempus from 2009 to 2013. 
144 Provisional figures, for centralized actions only, to be updated when all projects are finalized 
145 International actions were only launched at the end of 2014 

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Expenditure related outputs 

Outputs 

International Student and Staff Mobility 
Degree Mobility 
International HE Capacity Building 
Total 

Outputs 

International  Student  and  Staff  Mobility  (credit 
mobility)149 

Degree mobility 

International HE Capacity Building 

2014* 
14 363 
0 
228 
0 
135 
0 

F 
P 
F 
P 
F 
P 

Draft Budget 2019 

Budget line 

Heading 4146  
Heading 4147  
Heading 4148  

Number 

30 000 
238 
143 

EUR million 

99.4 
21.4 
107.2 
228 

2018 
30 000 

Number of outputs foreseen (F) and produced (P) 
2017 
30 000150 
40 918 
279 
350 
168 
149 

2016 
17 906 
36 136 
280 
423 
159 
147 

2015 
15 718 
28 167 
228 
518 
139 
138 

136 

228 

238 

143 

2019 
30 000 

2020 
30 000 

243 

146 

* Implementation of the actions delayed for the subsequent year due to the late adoption of the legal basis of the external instruments. 

Specific Objective 5: to improve the teaching and learning of languages and to promote the Union's broad linguistic diversity and 
intercultural awareness; 
Indicator 1: % of participants in long-term mobility declaring that they have increased their language skills 

Baseline 
2010151 

HE: 94 % 

VET: 81 % 

2014 

2015 
95 % 

97.6% 

97.5% 

97.1% 

96.3% 

Milestones foreseen 

2016 

2017 
96% 

Actual results152 
97.2% 

96.6% 
87 % 

Actual results153 
96.1% 

95.5% 

2018 

2019 

Target 2020 

98 % 

90 % 

Specific Objective 6: to promote excellence in teaching and research activities in European integration through the Jean Monnet 
activities worldwide 
Indicator 1: Number of students receiving training through Jean Monnet activities 

Baseline 
2007 

120 000 

2014 
215 000 

2015 
235 000 

2016 
260 000 

2017 
285 000 

2018 
310 000 

2019 
335 000 

Milestones foreseen 

246 000 

267 000 

286 000 

248 000 

Actual results 

Target 2020 

360 000 

Expenditure related outputs 

Outputs 

Jean Monnet activities 
Total 

Outputs 

Jean Monnet activities (in 1000) 

2014 
215 
246 

F 
P 

Budget line 

15 02 02 

Draft Budget 2019 

Number 
335 
335 

EUR million 
45.0 
45.0 

Number of outputs foreseen (F) and produced (P) 
2017 
285 
248 

2016 
260 
286 

2018 
310 

2015 
235 
267 

2019 
335 

2020 
360 

146 Contribution to Erasmus+ coming from the external instruments under heading 4, budget lines 19 05 20; 21 02 20; 22 04 20; 22 02 04 02 
147 Contribution to Erasmus+ coming from the external instruments under heading 4, budget lines 19 05 20; 21 02 20; 22 04 20 
148 Contribution to Erasmus+ coming from the external instruments under heading 4, budget lines 19 05 20; 21 02 20; 22 04 20;  22 02 04 02 
149 Number of mobilities based on call year 
150 The original annual forecasts were low at around 16,000 individuals per year.  The contracts signed in the second semester 2015 indicated a much higher number 
of individuals who would be supported with the funds available.  Each of the contracts awarded are 26 months long, and the mobility activities are spread over 4 
academic semesters, with the majority of the participants mobile in year n+1, and the first semester of year n+2. Hence, the produced numbers for 2016, relating to 
the signed 2015 contracts are still low (~16,000) but from 2017 onwards, participants from 2 overlapping call years (2015 and 2016 contracts, active in 2017) will 
undertake mobility. Consequently, 30,000 mobilities per year on average are expected. 
151 In order to compare data, "long-term" mobility is considered here as from 2 months and over across all sectors. 
152 Result indicator: the final figures can only be provided when all the declaration have been received (year N=3). 
153 Result indicator: the final figures can only be provided when all the declaration have been received (year N=3). 

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Specific  Objective  7: to  improve  the  level  of  key  competences  and  skills  of  young  people,  including  those  with  fewer 
opportunities,  as  well  as  to  promote  participation  in  democratic  life  in  Europe  and  the  labour  market,  active  citizenship, 
intercultural  dialogue,  social  inclusion  and  solidarity,  in  particular  through  increased  learning  mobility  opportunities  for  young 
people, those active in youth work or youth organisations and youth leaders, and through strengthened links between the youth field 
and the labour market; 
Indicator 1: % of participants declaring that they have increased their key competences 

Baseline 
2012 

Youth 75 % 

2014 

2015 

93.1% 

92.9% 

Milestones foreseen 

2017 

2018 

2019 

2016 
77 % 
Actual results154 
93.2% 

93.4% 

Indicator 2: % of participants in voluntary activities declaring that they have increased their language skills 

Baseline 
2010155 

87 % 

2014 

2015 
90 % 

96.5% 

96.4% 

Milestones foreseen 

2016 

2017 
92 % 

Actual results156 
96.1% 

94.7% 

2018 

2019 

Target 2020 

80 % 

Target 2020 

95 % 

Indicator 3: The number of young people engaged in mobility actions supported by the Programme, by country, action and gender 

Baseline 
2012157158 

Youth: 59 (in 1000) 

2014 
69159 

84 

2015 
70 

92 

Expenditure related outputs 

Outputs 

Participants in Youth Exchanges 
Participants in European Voluntary Service projects* 
Youth workers participating 
Total 

Outputs 

Participants in Youth Exchanges 

Participants in European Voluntary Service 
projects 

Youth workers participating 

2014 
62 400 
77 058 
7 100 
6 834 
21 000 
33 709 

F 
P 
F 
P 
F 
P 

Milestones foreseen 

2016 
70 
Actual results160 
102 

2017 
77 

110 

2018 
92 

2019 
107 

Target 2020 

124 

Budget line 

15 02 01 02 
15 02 01 02 
15 02 01 02 

Draft Budget 2019 

Number 
94 300 
3 700 
25 000 

EUR million 
62.2 
26.2 
18.5 
106.9 

2018 
80 900 

Number of outputs foreseen (F) and produced (P) 
2017 
67 900 
92 354 
12 000 
10 117 
22 700 
31 878 

2016 
62 800 
86 500 
7 200 
8 840 
21 600 
29 178 

2015 
62 700 
78 217 
7 200 
7 883 
21 300 
31 496 

23 800 

4 300 

2019 
94 300 

3 700 

25 000 

2020 
108 700 

4 700 

26 300 

*European Voluntary Services figures have been adjusted in line with the creation of the European Solidarity Corps  

Specific  Objective  8: to  foster  quality  improvements  in  youth  work,  in  particular  through  enhanced  cooperation  between 
organisations in the youth field and/or other stakeholders; 
Indicator 1: The number of users of the Eurodesk network 

Baseline 
2013 

140 000 information enquiries 
answered through the Euro 
desk network 
Expenditure related outputs 

2014 
140 000 

2015 
140 000 

Milestones foreseen 
2017 
2016 
140 000 
140 000 

Actual results 

2018 
140 000 

2019 
140 000 

Target 2020 

140 000 

258 500  

266 000 

338 381 

338 116 

Outputs 

Strategic partnerships 
Web Platforms 
Total 

Budget line 

15 02 01 02 
15 02 01 02 

Draft Budget 2019 

Number 
2 530 
1 

EUR million 
55.0 
0.6 
55.6 

154 Result indicator: the final results can only be provided when all the declaration will be received (year N=3). 
155 In order to compare data, "long-term" mobility is considered here as from 2 months and over across all sectors. 
156 Result indicator: the final results can only be provided when all the declaration will be received (year N=3). 
157 Total of outputs for two actions: Youth exchanges and European Voluntary Service. 
158 Reporting on the performance of the programme in a specific year (n) including detailed reports (breakdown) on the indicators annexed to the basic act will be 
produced by Q2 of the following year (n+1) and published on the Erasmus+ website. 
159 In line with DG EAC  Strategic Plan 2016-2020. 
160 Figures correspond to EU 28 actuals results – participants in awarded projects. 

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Outputs 

Strategic partnerships161 

Web Platforms 

2014 
1 160 
1 675 
1 
1 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
2 040 
2 226 
1 
1 

2016 
1 800 
2 036 
1 
1 

2018 
2 280 

2015 
1 420 
2 015 
1 
1 

1 

1 

2019 
2 530 

2020 
2 760 

1 

Specific  Objective  9: to  complement  policy  reforms  at  local,  regional  and  national  level  and  to  support  the  development  of 
knowledge and evidence-based youth policy as well as the recognition of non-formal and informal learning, in particular through 
enhanced policy cooperation, better use of Union transparency and recognition tools and the dissemination of good practices; 
Indicator  1: %  of  participants  who  have  received  a  certificate  'for  example  a  Youthpass',  diploma  or  other  kind  of  formal 
recognition of their participation in the Programme 

Baseline 
2010 

26 % 

2014 

2015 
35 % 

76.8% 

78.1% 

Milestones foreseen 

2016 

2017 
45 % 

Actual results162 
81.0% 

83.0% 

2018 

2019 

Target 2020 

65 % 

Expenditure related outputs 

Outputs 

Structured Dialogue projects 
Operating grants to European Youth NGOs 
Support to Euro desk 
European Youth Forum 
Others 
Total 

Outputs 

Structured Dialogue projects 

Operating grants to European Youth NGOs 

Support to Euro desk 

European Youth Forum 

Others 

2014 
150 
166 
66 
60 
35 
35 
1 
1 
20 
20 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

Budget line 

15 02 01 02 
15 02 01 02 
15 02 01 02 
15 02 01 02 
15 02 01 02 

Draft Budget 2019 

Number 
166 
73 
35 
1 
20 

EUR million 
5.8 
3.2 
1.9 
2.1 
6.7 
19.7 

2019 
166 

2018 
163 

Number of outputs foreseen (F) and produced (P) 
2017 
160 
282 
71 
88 
35 
35 
1 
1 
20 
20 

2016 
157 
 234 
69 
77 
35 
35 
1 
1 
20 
20 

2015 
153 
220 
68 
70 
35 
35 
1 
1 
20 
20 

35 

72 

20 

1 

73 

35 

1 

20 

2020 
169 

75 

35 

1 

20 

Specific Objective 10: to enhance the international dimension of youth activities and the role of youth workers and organisations 
as support structures for young people in complementarity with the Union's external action, in particular through the  promotion of 
mobility and cooperation between the Union and partner-country stakeholders and international organisations and through targeted 
capacity-building in partner countries. 
Indicator  1: The  number  of  youth  organisations  from  both  Programme  countries  and  partner  countries  involved  in  international 
mobility and cooperation actions 

Baseline 
2011 

5 300 

2014 
5 500 

7 700 

2015 

Milestones foreseen 

2016 
5 600 

2017 

2018 
5 800 

Actual results 

2019 

Target 2020 

6 000 

6 173 

6 925 

7 044 

Expenditure related outputs 

Outputs 

Capacity building projects 
Total 

Outputs 

Capacity building projects 

2014 
82 
60 

F 
P 

Budget line 

15 02 01 02 

Draft Budget 2019 

Number 
79 

EUR million 
13.0 
13.0 

Number of outputs foreseen (F) and produced (P) 
2017 
65 
67 

2016 
103 
59 

2018 
70 

2015 
95 
61 

2019 
79 

161 Including Trans-National Cooperation activities. 
162 Result indicator: the final results can only be provided when all the certificates will be received. 

2020 
80 

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Specific Objective 11: to tackle cross-border threats to the integrity of sport, such as doping, match-fixing and violence, as well as 
all kinds of intolerance and discrimination; 
Indicator 1: % of participants who have used the results of cross-border projects to combat threats to sport 

Baseline 
2009-2013 

0% (new EU action, no 
baseline available)163 

2014 
6,6 % 

2015 

2016 

2017 
50 % 

2018 

2019 

Milestones foreseen 

Actual results164 

Target 2020 

75 % 

Expenditure related outputs 

Outputs 

Sport activities - cross-border projects to combat threats to sport 
Total 

Outputs 

Sport activities - cross-border projects to combat 
threats to sport 

F 
P 

2014 
8 
6 

Budget line 

15 02 03 

Draft Budget 2019 

Number 
42 
42 

EUR million 
8.3 
8.3 

Number of outputs foreseen (F) and produced (P) 
2017 
40 
27 

2016 
12 
13 

2018 
42 

2015 
8 
6 

2019 
42 

2020 
46 

Justification of changes to the financial programming and/or to the performance information 
The  indicators  for  Sport  aim  at  measuring  the  improvement  that  the  Erasmus+  programme  brings  in  reaching  relevant 
organisations, compared to the Preparatory Actions in the field of Sport (2009-2013). The baselines are therefore being computed 
from  the  Preparatory  Actions  in  the  field  of  sport.  The  thematic  areas  in  the  Preparatory  Actions  were  different  each  year,  but 
correspond for the whole period 2009-2013 to the specific objectives for Sport in Erasmus+. 

Specific Objective 12: to promote and support good governance in sport and dual careers of athletes; 
Indicator 1: % of participants who have used the results of cross-border projects to improve good governance and dual careers 

Baseline 
2009-2013 

0% (new EU action, no 
baseline available)165 

2014 
9 % 

2015 

2016 

2017 
50 % 

2018 

2019 

Milestones foreseen 

Actual results166 

Target 2020 

75 % 

Expenditure related outputs 

Outputs 

Sport activities - cross-border projects to improve good governance and dual careers 
Total 

Budget line 

15 02 03 

Draft Budget 2019 

Number 
70 
70 

EUR million 
13.8 
13.8 

Outputs 

Sport  activities 
improve good governance and dual careers 

-  cross-border  projects 

to 

F 
P 

2014 
14 
4 

Number of outputs foreseen (F) and produced (P) 
2017 
39 
46 

2016 
23 
5 

2018 
40 

2015 
16 
12 

2019 
70 

2020 
50 

Specific Objective 13: to promote voluntary activities in sport, together with social inclusion, equal opportunities and awareness of 
the importance of health-enhancing physical activity through increased participation in, and equal access to, sport for all. 
Indicator 1: % of participants who have used the results of cross-border projects to enhance social inclusion, equal opportunities 
and participation rates 

Baseline 
2009-2013 

0% (new EU action, no 
baseline available)167 

Milestones foreseen 

2014 

2015 

2016 

2017 
50 % 

2018 

2019 

Actual results168 

Target 2020 

75 % 

Indicator 2: Size of membership of sport organisations applying for, and taking part in, the Programme, by country 

163 In line with DG EAC Strategic Plan 2016-2020. 
164 Result indicator: the final results can only be provided when all the projects will be finalised. 
165 In line with DG EAC Strategic Plan 2016-2020. 
166 Result indicator: the final results can only be provided when all the projects will be finalised. 
167 In line with DG EAC Strategic Plan 2016-2020. 
168 Result indicator: the final results can only be provided when all the projects will be finalised. 

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Baseline 

% (new EU action, no 
baseline available)  

Milestones foreseen 

2014 

2015 

2016 

2017 
30 %  

2018 

2019 

Actual results169 

Target 2020 

50%  

* Size of membership of sport organisations (% of small grassroot less than 1000 members in the projects) 

Expenditure related outputs 

Outputs 

Sport activities - cross-border projects to enhance social inclusion 
Total 

Budget line 

15 02 03 

Draft Budget 2019 

Number 
168 
168 

EUR million 
33.1 
33.1 

Outputs 

Sport  activities 
enhance social inclusion 

-  cross-border  projects 

to 

F 
P 

2014 
21 
26 

Number of outputs foreseen (F) and produced (P) 
2017 
168 
120 

2016 
35 
117 

2018 
175 

2015 
24 
30 

2019 
168 

2020 
200 

Justification of changes to the financial programming and/or to the performance information 

The difference between the estimated and actual number of outputs was a result of the introduction of a new category of grants: 
small collaborative partnerships, with the grants up to 60.000 EUR. This will be repeated also in the years to come, as small 
collaborative partnership will remain a part of Erasmus+ Sport. 

5. Programme contribution to the Sustainable Development Goals 

In  the  field  of  education,  the  Erasmus+  programme  principally  contributes  to  the  Sustainable  Development  Goals  4.  The 
programme also contributes concretely to SDGs nr.1, 3, 5, 8, 10, and 16. 

4. Ensure inclusive and equitable quality education and promote life-long learning opportunities for all 
Much like the Sustainable Development Goal 4, the EU Strategic Framework for European Cooperation in Education and Training 
(ET 2020) is designed to support Member States in ensuring inclusive and equitable quality education and in promoting life-long 
learning opportunities for all, from early childhood education and schools through to higher education, vocational education  and 
training and adult learning.The ET 2020 priorities, adopted by Council and Commission in November 2015, have a direct influence 
on  the  Erasmus+  Work  Programmes,  as  Erasmus  +  provides  funding  to  support  initiatives  such  as  social  inclusion  through 
education  and  training,  addressing  early  school-leaving  and  underachievement  in  reading,  maths  and  science;  fostering 
employability of graduates and adult participation in learning, and enhancing democratic citizenship, social, civic and intercultural 
competences and the common EU values. 
On the international scene, the EU has an active policy for cooperation in education and training with third countries by promoting 
peer-to-peer  learning  and  comparison  with  education  systems  worldwide.  In  particular  the  EU's  Erasmus+  mobility  and  inter-
university cooperation programme is an invaluable instrument for establishing lasting academic and cultural ties, also promoting 
the EU in partner countries. Overall Erasmus+ funding for developing regions will support around 150,000 mobility exchanges of 
university  students  and  staff,  1000  capacity  building  in  higher  education  projects  and  around  27,000  scholarships  for  Erasmus 
Mundus  Joint  Master  Degrees,  primarily  for  partner  countries  across  the  world.  Support  is  also  provided  to  higher  education  in 
Africa through the Joint Africa-EU Strategy. 

Both within the EU and with its partner countries in the world, through the Youth Capacity Building action, Youth exchanges and 
the European Voluntary Service, Erasmus+ is also contributing to: 

SDG 1 End poverty in all its forms everywhere Through its activities to achieve social inclusion through education, Erasmus+ 
contributes to achieving Goal 1 of the SDGs, in particular its target of reducing at least by half the proportion of men, women and 
children of all ages living in poverty in all its dimensions according to national definitions. 

SDG 3 Ensure healthy lives and promote well-being for all at all ages Through its education and training and sport activities, 
Erasmus+ promotes healthy habits and well-being, particularly among the youth, hence contributing to SDG 3, notably to its target 
on  reducing  by  one  third  premature  mortality  from  non-communicable  diseases  through  prevention  and  treatment  and  promotes 
mental health and well-being 

SDG 5 Achieve gender equality and empower all women and girls The Erasmus+ Programme aims at removing social obstacles 
for participation in it for people facing discrimination because of gender, among other reasons. Strategic partnerships in the field of 
Youth  give  priority  to  projects  that  promote  the  empowerment  of  all  young  people,  with  a  special  focus  on  access  to  rights, 
autonomy and participation. 

169 Result indicator: the final results can only be provided when all the projects will be finalised. 

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SDG 8 Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for 
all All the actions of the Erasmus+ Programme contribute to increase the employability of the young people that participate in it, as 
shown by several studies. This is achieved through a combination of several outcomes, e.g. the acquisition of new skills, increased 
autonomy, increased knowledge of foreign languages, etc. The emphasis on inclusion aims to ensure that all can reap these benefits 
irrespective of disadvantage. 

SDG  10  Reduce  inequality  within  and  among  countriesIn  general,  the  Erasmus+  Programme  aims  at  promoting  equity  and 
inclusion  by  facilitating  access  to  it  to  participants  with  disadvantaged  backgrounds  and  fewer  opportunities  compared  to  their 
peers. More specifically in the field of Youth, an Inclusion and Diversity Strategy has been designed as a common framework to 
support the participation and inclusion of young people with fewer opportunities. 

SDG  16  Promote  peaceful  and  inclusive  societies  for  sustainable  development,  provide  access  to  justice  for  all  and  build 
effective, accountable  and  inclusive  institutions  at  all  levels  One  of  the  aims  as  regards  students,  trainees,  apprentices,  young 
people  and  volunteers  participating  in  any  of  the  mobility  activities  supported  under  Erasmus+  is  a  more  active  participation  in 
society. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Launched  in  2015,  the  Erasmus+  Master  Loan  Scheme  is  a  guarantee  facility  established  under  the  Erasmus+  programme.  Its 
objective is to incentivise commercial/retail banks, promotional banks, student loan bodies and other financial intermediaries, such 
as  higher  education  institutions,  to  extend  loans  on  favourable  terms  to  mobile  students  pursuing  a  full  higher  education  degree 
(Masters’  programme)  in  a  country  which  is  neither  their  country  of  residence  nor  the  country  in  which  they  obtained  their 
qualification granting access to the Master’s programme. The incentive is provided through effective portfolio credit risk transfer 
(via a guarantee or a counter-guarantee) by the  European Investment Fund on behalf  of the Commission, through a delegation 
agreement. 

The scheme is designed to support postgraduate students and protect them from student hardship with social safeguards including: 

  No need for collateral from students or parents, ensuring equality of access 
  Favorable, better than market interest rates 
  Pay-back terms that allow graduates up to two years to find work before beginning repayment. 

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HEADING 1A: Competitiveness for growth and jobs 

European Union Programme for Employment and Social Innovation (EaSI) 
Lead DG: EMPL 

I. Programme Overview 

What the programme is about? 

The Employment and Social Innovation (EaSI) programme is a financing instrument at EU level to promote a high level of quality 
and  sustainable  employment,  guaranteeing  adequate  and  decent  social  protection,  combating  social  exclusion  and  poverty  and 
improving working conditions. The three axes of EaSI support the modernisation of employment and social policies (PROGRESS 
axis), job mobility (EURES axis), and access to micro-finance and social entrepreneurship (MF/SE axis). 

EU added value of the programme 

EaSI provides EU funds to coordinate the implementation of the employment and social objectives of the Europe 2020 Strategy for 
smart,  sustainable  and  inclusive  growth.  EaSI  creates  added  value  to  national  policies  by  developing,  coordinating  and 
implementing modern, effective and innovative EU employment and social policies; for instance, with regards to the exchange of 
good  practices,  the  social  policy  innovations,  the  cross-border  partnerships,  the  support  provided  to  social  enterprises  as  well  as 
regarding the provision of loans to vulnerable people. 
The Programme focuses on key actions with high European added value such as: 

 

 
 

 

supporting  the  EU  policy-making  process  and  stronger  EU  policy-coordination/economic  governance  such  as  in  the 
context of the European Semester; 
focusing on the transnational dimension of employment, social, working conditions and health and safety at work policy; 
ensuring  development  and  proper  application  of  EU  laws  in  the  field  of  employment,  working  conditions,  health  and 
safety at work and social protection; 
promoting  EU  governance,  mutual  learning,  effective  and  inclusive  information  sharing  and  dialogue  to  consolidate 
cooperation between Member States and achieve EU goals; 

  making  knowledge  and  expertise  accessible  at  EU  level  through  policy  experimentation  and  transferring  best  practices 

 

 

across Member States; 
promoting  workers’  EU  geographical  mobility  by  developing  services  for  the  recruitment  and  placing  of  workers  (in 
particular young people and professionals) in employment through the clearance at European level of vacancies and job 
applications; 
increasing the availability and accessibility of microfinance, as additional funding is more likely to be attracted from third-
party investors such as the European Investment Bank. 

II. Programme Update 

Implementation status (2014-2017) 

In  2017  the  PROGRESS  axis  concentrated  on  gathering  evidence  through  studies,  analysis  and  EU  statistics  to  shape  policy 
developments. It also fostered shared understanding of policy options and solutions by providing  for high quality, inclusive, and 
participatory policy debates. It also promoted the involvement of civil society through financial support for key Union level NGOs 
and implementation of the Social Investment Package. 

The  EURES  axis  continued  its  support  of  the  European  job  mobility  portal,  training  courses  on  EURES  services,  as  well  as 
horizontal  support  to  the  member  organisations  of  the  EURES  network.  It  also  financed  cross-border  partnerships  supporting 
mobility  for  frontier  workers  in  the  cross-border  regions  along  with  targeted  mobility  schemes,  following  the  preparatory  action 
"Your First EURES job". 

Concerning the MF/SE axis, after the signature of the Delegation Agreement with the EIF in 2015, the implementation of the EaSI 
Guarantee  continued in 2017. By the end of 2017, 62  operations (49 for Microfinance and 13 for Social  Entrepreneurship) have 
already been signed in 24 countries for a total amount of EUR 105.1 million, (75.7 million  for Microfinance and 29.4 million for 
Social Entrepreneurship). The full absorption of the initial EaSI budget of EUR 56m for microfinance by late 2016, coupled with 
the strong pipeline for social entrepreneurship, consequently led to a EUR 100 million top-up from the European Fund for Strategic 
Investments (EFSI). In light of this, the initial  total EU budget earmarked for the EaSI Guarantee instrument over 2014-2020 has 
been increased from EUR 96 million to EUR 196 million for both microfinance and social entrepreneurship.  

With  regard  to  EaSI  Technical  Assistance  (TA)  which  offers  a  range  of  support  activities  to  European  microfinance  institutions 
(MFIs),  so  far  37  MFIs  have  benefited  from  capacity-building  tailored  trainings  and  41  MFIs  from  training  courses  on  the 
implementation of the European Code of Good Conduct for microcredit provision under the programme. The EaSI TA programme 
was launched in 2015 and is currently managed by the European Investment Bank under fi-compass until March 2018. 

Key achievements  

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The  2nd  EaSI  performance  monitoring  report  covering  the  activities  2015  and  2016  is  online170.  The  latest  key  programme 
achievements are the following: 

The use of the EURES Job Mobility Portal kept expanding in 2015-2016. According to the latest data, the EURES online platform 
attracts 1.76 million users each month. This number has increased from 0.85 million monthly users in 2013 and 1.2 million users in 
2014. 

In 2017, there were 7349 job placements resulting from consultations with jobseekers as a result of the Preparatory Action Your 
First EURES Job (YfEJ) and Targeted Mobility Schemes 

The 62 signed transactions under the Microfinance/Social enterprise axis for a total amount of EUR 105.1 million are expected  to 
unlock more than EUR 1.3 billion of financing for micro- and social enterprises thanks to a leverage effect, already surpassing the 
initial target of EUR 528  million of  financing  set  for the  EUR 96  million initially earmarked  for the EaSI  Guarantee instrument 
over the whole programming period. 

Success stories 
EaSI-Progress  axis  -  ENACTING:  "Enable  cooperation  &  mutual  learning  for  the  fair  posting  of  workers  (VP/2014/007,  grant 
identification number: VS/2015/0013) contributed to national and EU policies for the mobility of workers and decent work related 
to posting of workers, specifically by enhancing administrative cooperation, social dialogue and tripartite dialogue. This tripartite 
type  of  relationship  between  national  authorities  with  their  labour  inspectorates,  workers  representatives  and  employers’ 
associations    provided  a  transnational  dialogue  and  exchange  which  contributed  to  a  decision-making  process  related  to 
‘governance’ of the issues connected to fair transposition and the effective administration of participating countries (i.e.  BE, DE, 
IT, RO).  

EURES axis - YOUR FIRST EURES JOB (YFEJ) is an intra-EU job mobility scheme which aims to help young nationals in the 
18–35 age brackets of any of the EU countries, Iceland and Norway to find a work placement - job, traineeship or apprenticeship - 
in another country than their country of residence. YFEJ is being implemented in  the  framework of EaSI  as a  'targeted mobility 
scheme' (TMS). Since the start date of the YFEJ activities in February 2015, in total 3098 placements were made.   

MF/SE  axis  -  EaSI  financial  instruments,  in  particular  the  Guarantee  part  of  the  scheme  has  started  successfully  in  2015  and 
continued in 2017. More specifically, the latest figures regarding transactions notified by EIF the end of December 2017suggest an 
expected leverage effect of EU contribution  within the  range of 5.5-30.5  with an estimated average leverage  value of 12.4. This 
leverage  effect  is  more  than  twice  the  Minimum  Leverage  Effect  set  in  the  Delegation  Agreement  (5.5)  and  suggests  important 
gains in terms of effectiveness (improved results compared to initially foreseen) and in terms of efficiency gains (higher leverage 
effect and more efficient use of EU contribution). Furthermore, the full absorption of the EUR 56m initial EaSI budget earmarked 
for  the  microfinance  guarantees,  coupled  with  the  positive  evolution  of  the  pipeline  of  deals  for  social  entrepreneurship  and 
subsequently  the  additional  EUR  100m  top-up  from  the  European  Fund  for  Strategic  Investments  (EFSI)  bears  testimony  to  the 
increased market demand and the successful take-up of the instrument. 

Evaluations/studies conducted 

The  preliminary  findings  of  the  mid-term  evaluation  confirm  that  the  general  and  specific  objectives  of  the  EaSI  programme 
continue to be relevant, in particular in light of the current challenging socio-economic context characterised by the aftermath of the 
financial and economic crisis, with positive but slow recovery.  

The programme has achieved good quality outcomes, but in limited quantity given its limited resources. For instance, scaling-up of 
projects is hindered by lack of adequate follow-up to ensure their long-term sustainability.  

The three axes seem to operate independently: the merger of the three previous programmes does not provide significant synergies. 
Therefore, the EaSI axes branding needs to be further strengthened and the budget's transfers should be possible between axes and 
between themes within each axis. Especially the EURES and Microfinance/Social Entrepreneurship funding needs to be adjusted to 
meet the high demand and to ensure continuation of the support beyond the current programming cycle. 

No  overlaps  with  other  EU  or  national  level  programmes  were  identified,  but  clear  complementarities  were  highlighted,  in 
particular with the ESF. The EaSI programme added value is widely acknowledged; for instance with regards to the exchange of 
good  practices,  the  social  policy  innovations,  the  cross-border  partnerships,  the  support  provided  to  social  enterprises  as  well  as 
regarding the provision of loans to vulnerable people.  

To conclude, this mid-term evaluation has highlighted a number of ways to improve the implementation of EaSI until the end of the 
current MFF, especially through enhanced flexibility and targeting groups in need of specific support, simplification of procedures, 
improved internal coherence  and linkages  with other  funds. Especially an improved  streamlining of  funding could have tangible 
impact on the EaSI relevance, efficiency, coherence, effectiveness and EU value added. This can be already done during 2017-2020 
through improved linkages/new mechanisms linking the different EU funds with common goals. 

Relevant links171:   
http://ec.europa.eu/social/main.jsp?catId=333&langId=en&consultId=25&visib=0&furtherConsult=yes 

170 http://ec.europa.eu/social/main.jsp?catId=738&langId=en&pubId=8041&furtherPubs=yes 
171 As the publication of the mid-term evaluation is pending, the provided link is the one of the open public consultation in the context of the mid-term evaluation  

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Forthcoming implementation (2018-2019) 

In 2017 within the PROGRESS axis a particular attention was placed on the call for proposals on social innovation and national 
reforms in three lots: work-life balance, access to social protection and national reform support. This call aims at funding projects 
to  test  and  implement  innovative  strategies  encompassing,  among  others,  flexibility  of  work  organisations,  facilitating  access  to 
information on social protection entitlements, pension & social protection reforms. The projects under this call are expected to be 
implemented as of 2018. 

As for EaSI Technical Assistance (TA), a call for tenders establishing framework contracts for EaSI TA will be implemented as of 
2018. In addition to ensuring continuity of support activities, the programme's  scope  will be  broadened to include TA  for social 
enterprise finance providers for the first time. 

The EaSI EURES axis  will continue  to support the  implementation of EURES Regulation 2016/589. The 2017 and 2018 budget 
outlays for the EURES portal should bear fruit in 2019 and result in the completion of a multi-annual programme for a revamped 
portal with increased exchange of data (job vacancies) and a higher number of visits. Actions to support cross border activities and 
targeted mobility schemes will be stepped up, building on the experiences gained in the previous years.  

In the  fight against abuse and for a better enforcement, the PROGRESS axis will support the ongoing activities of the European 
Platform to enhance cooperation in tackling undeclared work under Decision (EU) 2016/344, and the organisation of trainings and 
meetings  accompanying  enforcement  activities  by  Member  States  of  Union  rules  in  the  area  of  workers  and  free  movement  of 
workers and posting.  

Concerning the MF/SE axis of EaSI, for the 2018/2019 period, the EaSI Guarantee for microfinance and social entrepreneurship 
will pursue its deployment with the additional resources provided by the European Fund for Strategic Investments (EFSI), and in 
view  of  a  further  top-up  under  EFSI  2.0.  Other  instruments  such  as  the  EaSI  capacity-building  instrument  and  the  EFSI  Equity 
social impact pilots (social incubation facility and social  business angel co-investment facility)  will continue  to be implemented. 
The  EaSI  Funded  instruments  (i.e.  loans  to  primarily  non-bank  intermediaries)  and  the  grant  pilot  for  business  development 
services targeting refugees and migrants are expected to be launched in the course of 2018. In addition, a follow-up transaction cost 
support  grant  is  planned  in  2018-2019  to  continue  support  small  investments  of  up  to  EUR  500  000  in  social  enterprises, 
complementing the support provided under the EFSI Equity social impact pilots. 

There is a strong pipeline under the EaSI Capacity Building investments window, aiming at building up the institutional capacity 
(i.e.  modernisation)  of  selected  financial  intermediaries  in  Europe  for  both  microfinance  and  social  entrepreneurship,  primarily 
through equity investments. The first operations are expected to be signed in 2018. Furthermore, the first operations under the EFSI 
SME  Window  Equity  Product  social  impact  pilots,  namely  the  social  incubators/accelerators  and  social  business  angels  co-
investment facility are expected to be signed in 2018. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1296/2013 of the European Parliament and of the Council of 11 December 2013 on a 
European Union Programme for Employment and Social Innovation ("EaSI") and amending Decision No 
283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

919,5 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

3,8 
119,2 
123,0 

4,3 
124,3 
128,6 

4,7 
122,4 
127,1 

4,0 
132,0 
136,0 

3,4 
128,3 
131,7 

3,0 
126,8 
129,8 

3,0 
126,7 
129,7 

Total 
Programme 
26,1 
879,8 
905,9 

2017 

2018 

CA 
136,044 

Impl. Rate 
99,37 % 

PA 
87,288 

Impl. Rate 
96,83 % 

CA 
131,712 

Impl. Rate 
15,52 % 

PA 
115,480 

Impl. Rate 
15,37 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

91,50 % 

17,26 % 

16,14 % 

96,05 % 

139,008 

143,371 

123,462 

96,916 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 

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20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
Smart Growth: 12% of 04 03 02 01 + 51,36% of 04 03 02 02 
Inclusive Growth: 71,6% of 04 03 02 01 + 16,28% of 04 03 02 02 + 96,72% of 04 03 02 03 

Gender mainstreaming 
The EaSI programme aims to promote equality between women and men as part of the horizontal principles of the programme. In 
designing, implementing and reporting on the activities, beneficiaries/contractors must address this issue and provide detail in the 
final activity report on the steps and achievements made towards this goal. The gender dimension is specifically monitored through 
some of  the  key performance indicators (KPIs)  which are assessed on the basis of survey results. The results reported in the  2nd 
performance monitoring report 2015-2016 show that the integration of all EaSI horizontal issues has increased since 2014. Gender 
equality and non-discrimination remained well-integrated (~80 % agreed with this opinion). 

With regard to the Progress axis of EaSI, beneficiaries are required to indicate the gender of participants when submitting the lists 
of participants in events as well as in the general stakeholder survey. 

Concerning the EURES indicators, the Commission has launched a review of the performance measurement system for EURES to 
improve the reporting system  and to cover also gender-disaggregated reporting. The new monitoring system will be applicable to 
the successor of EaSI. 

As for the axis EaSI: MF/SE, the KPI 36. "Proportion of beneficiaries that have created or further developed a business with EU 
microfinance support that are unemployed or belonging to vulnerable groups" aims to assess the extent to which EU microfinance 
and social entrepreneurship support reaches persons who are in a disadvantaged position to access the conventional credit market. 
Such vulnerable persons include women, the unemployed, those with no or only primary education, young and older people. 

Data such as age, gender, education level, etc. are collected only for natural persons applying for EU microfinance funding.  This 
results in an incomplete picture, since a large number of applicants are legal persons (enterprises)  and therefore  their social data 
(e.g. the social data of a representative) are not being collected. For legal persons, only data on their employees are being collected 
and not on the owner or a legal representative. Data shows that among the natural persons supported by the Microfinance Window 
of EaSI around 35 % of them were women. 

Gender  equality  is,  however,  a  transversal  objective  of  the  programme  and  it  is,  therefore,  not  relevant  to  produce  estimate  of 
budget contributions. 

4. Performance information 
Specific objectives 

Specific  Objective  1: Support  the  development,  implementation,  monitoring  and  evaluation  of  the  Union's  instruments,  policies 
(promoting  a  high  level  of  quality  and  sustainable  employment,  guaranteeing  adequate  and  decent  social  protection,  combating 
social  exclusion  and  poverty  and  improving  working  conditions*)  and  relevant  law  and  promote  evidence-based  policy-making, 
social  innovation  and  social  progress,  in  partnership  with  the  social  partners,  civil  society  organisations  and  public  and  private 
bodies (PROGRESS Axis) 
Indicator 1: Declared gain of better understanding of EU policies and legislation 

Latest-known result 

92% of the respondents to 
the 2013Annual Survey on 
PROGRESS172  
Source to be used: EaSI 
survey – every 2 years 

Milestones foreseen 

2014 

2015-2016 

91% 

87% 

2017 
> 85% 

Actual results 

Data due in 
2019** 

2018 

2019 

Target 2020 

Maintain results over 
85% 

*The policy field « Working conditions » does cover both areas of « labour law » and « safety and health at work »   
** The data for the years 2017-2018 will be available in 2019 after the next General Stakeholder Survey in January 2019. 
Indicator 2: Active collaboration and partnership between government institutions of the EU and Member States 

Latest-known result 

91% of respondents to the 
2013 annual survey on 
PROGRESS173  
Source to be used: EaSI 
survey – every 2 years 

Milestones foreseen 

2014 

2015-2016 

86% 

88.19% 

2017 
> 85% 

Actual results 

Data due in 
2019** 

2018 

2019 

Target 2020 

Maintain results over 
85% 

** The data for the years 2017-2018 will be available in 2019 after the next General Stakeholder Survey in January 2019. 
Indicator  3: Declared  use  of  social  policy  innovation  in  the  implementation  of  social  CSRs  and  the  results  of  social  policy 
experimentation for policy making 

172 Question: Would you agree or disagree (scale 1 to 5 or NA) that the event you participated in helped you gain a better understanding of EU policies and 
objectives in the field that the event specifically addressed 
173 Question: Would you agree (scale 1 to 5 or NA) that there is a sense of collaboration and partnership between your organisation and the EU institutions? 

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Baseline 

62% of respondents (2014 
survey) 
Source to be used: EaSI 
survey – every 2 years 

Milestones foreseen 

2014 

2015-2016 

62% 

49.2% 

Actual results 

2017 
64% 

** 

2018 

2019 

Target 2020 

> 66% 

** The data for the years 2017-2018 will be available in 2019 after the next General Stakeholder Survey in January 2019. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

PROGRESS Sub-objective no1: Develop and disseminate high-quality comparative analytical knowledge in order to ensure that Union 
employment and social policy and working conditions174  legislation are based on sound evidence and are relevant to needs, challenges and 
conditions in the individual Member States and other participating countries 
Analytical  activities  (eg.  knowledge  data  base,  EUROMOD,  policy  &  legal  experts'  network, 
studies, skills panorama joint analysis with international organisations, preparatory studies for 
impact assessment, monitoring of policies and laws ) 
PROGRESS Sub-objective no 2: Facilitate effective and inclusive information-sharing, mutual learning and dialogue on Union employment and 
social policy and working conditions175  legislation at Union, national and international level in order to assist the Member States and the other 
participating countries in developing their policies and in implementing Union law 
Mutual learning, awareness and dissemination activities (eg. PES to PES dialogue, peer review, 
mutual  learning  seminars,  joint  projects  with  OECD,  ILO,  World  Bank,  international 
conferences,  European  level  events,  Presidency  Conferences,  Observatory  on  Personal  and 
Household services) 
Support  for  main  actors  (eg.  exchange  of  Inspectors  SLIC,  visits,  reports,  European 
Employment Observatory, Heads of Public Employment Services Network, meetings) 
PROGRESS Sub-objective no 3: Provide policy-makers with financial support to test social and labour market policy reforms, build up the main 
actors’ capacity to design and implement social experimentation, and make the relevant knowledge and expertise accessible 
Analytical activities (eg. Financial support for social experimentation projects) 
Support for main actors (eg. Research, methodological development analysis, training activities 
including through experts networks, community of practice, digital platforms) 

04 03 02 01 

04 03 02 01 

04 03 02 01 

04 03 02 01 

04 03 02 01 

17,6 

20,6 

10,2 

29 

35 

4 

3 

5 

4 

4 

PROGRESS Sub-objective no 4: Provide Union and national organisations with financial support to step up their capacity to develop, promote 
and support176  the implementation of Union employment and social policy and working conditions legislation 

Support for main actors (eg. running costs of  EU NGO's networks, transnational  cooperation 
between  public  authorities,  civil  society  organisations  and  other  relevant  actors,  technical 
assistance to microcredit providers) 
Total 

04 03 02 01 

10 

23,4 

87 

Outputs 
*Note: output numbers for the DB year and beyond 
reflect the legal basis programmed over 7 years. Output 
numbers for 2014-2017 were adjusted on the basis of 
annual programmes. 

Number of outputs foreseen (F) and produced (P)177 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

PROGRESS Sub-objective no 1: Develop and disseminate high-quality comparative analytical knowledge in order to ensure that Union 
employment and social policy and working conditions178  legislation are based on sound evidence and are relevant to needs, challenges and 
conditions in the individual Member States and other participating countries 
30 
30 

Analytical activities 

29 
26 

30 

29 

30 

Mutual  learning,  awareness  and  dissemination 
activities 

Support for main actors 

F 
P 
F 
P 
F 
P 

22 
17179 
3 
3 
2 
1 

25 
11 
2 
2 
3 
1 

6 
3 

PROGRESS Sub-objective no 2: Facilitate effective and inclusive information-sharing, mutual learning and dialogue on Union employment and 
social policy and working conditions180  legislation at Union, national and international level in order to assist the Member States and the other 
participating countries in developing their policies and in implementing Union law 

Analytical activities 

F 
P 
Mutual  learning,  awareness  and  dissemination  F 

31 

3 
3 
19 

7 
5 
22 

3 
1 
15 

35 

35 

36 

174 The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work ». 
175 The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work ». 
176 The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work » 
177 Unless stated otherwise, differences between planned and produced outputs result from shifts in priorities or other informed decisions (e.g. integration of several 
actions) and present no impact for the overall achievement of the supported specific objectives. 
178   The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work » 
179   The difference between the foreseen and produced outputs is due to redeployments within the programme to increase the budget of the call for proposals on 
social innovation 'integration of refugees in the labour market' 
180   The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work » 

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activities 

Support for main actors 

P 
F 
P 

26 
5 
4 

11 
9 
8 

15181 
9 
7182 

8 
5 
1 

5 

5 

5 

Analytical activities 

PROGRESS Sub-objective no 3: Provide policy-makers with financial support to test social and labour market policy reforms, build up the main 
actors’ capacity to design and implement social experimentation, and make the relevant knowledge and expertise accessible 
4 
4 
2 
2 
3 
3 

Mutual  learning,  awareness  and  dissemination 
activities 

Support for main actors 

F 
P 
F 
P 
F 
P 

3 
1 
1 
1 
2 
1 

1 
1 

1 
1 

1 
1 

4 

4 

4 

4 

4 

5 

PROGRESS Sub-objective no 4: Provide Union and national organisations with financial support to step up their capacity to develop, promote 
and support the implementation of Union employment and social policy and working conditions183  legislation 

Analytical activities 

Mutual  learning,  awareness  and  dissemination 
activities 

Support for main actors 

F 
P 
F 
P 
F 
P 

10 
10 

1 
1 

8 
6 

1 
3 
3 
3 
7 
5 

1 
1 
2 
2 
3 
2 

10 

10 

10 

Specific Objective 2: Promote  workers’  voluntary  geographical  mobility on a  fair basis and boost employment  opportunities by 
developing  high-quality  and  inclusive  Union  labour  markets  that  are  open  and  accessible  to  all,  while  respecting  workers'  rights 
throughout the Union, including freedom of movement (EURES Axis) 
Indicator 1: Number of visits of the EURES platform (monthly average in million) 

Baseline 
2013 

0,85 million 
Indicator measured by 
AWSTAT* 

2014 

2015 

2016 

2017 
0.8 million 

2018 

2019 

Milestones foreseen 

0,7 

0,7 

Actual results 
0,7 

0,6 

Target 2020 

1 million 

* Aiming to give the best possible follow-up of the indicator during the whole 2013-2020 period, the analysis of this indicator has changed as the 
indicator presented last year was measured with the web instrument 'Google Analytics'. However, the indicator is very sensitive to the IT 
environment, notably if new servers are used. Consequently, the complete time serie has been revised changing the data source to 'AWSTAT', an 
alternative web instrument providing more stable information. Compared to last years there has been a slight decrease in the number of visits in 
2017 which is likely to be due to the improved labour market context in Member States. 
Indicator 2: *Number of youth job placements achieved or supported under the Preparatory Action Your First EURES Job (YfEJ) 
as well as under Targeted Mobility Schemes (cumulative figures) 

Baseline 
2013 

2013: 1 844184 

2014 

3 433 

2015 
5 000 

5 053 

Milestones foreseen 

2016 
7 000 

2017 

2018 

2019 

Actual results 

5 720 

7 349 

Target 2020 

15 000 

Comment on evolution: Data on 2013 and 2014 refer to results achieved under the Your first EURES job (YFEJ) preparatory action. Data on 2015 
covers both the preparatory action and part of the activities under the YFEJ Targeted Mobility Scheme (transitional period). As from the end of 
2015, the indicators show a steady increase due to: a) the large size and long duration of the YFEJ projects and, b) the experience and increased 
delivery capacity of the implementing organisations. The reporting period for the 2017 indicator ends on 30.06.2017. Data to complete the year 
will only be available at the end of April 2018. The scheme is expected to achieve the 2020 target. 
Indicator 3: Number of individual personal contacts of EURES advisers with jobseekers, job changers and employers 

Baseline 
2013 

1 055 936 

Milestones foreseen 

2014 

2015 

2016 
1 200 000 

Actual results 

2017 

2018 

2019 

947 489 

1 058 874 

1 131 002 

1 524 280 

Target 2020 

1 400 000 

The trend of an increase in the number of individual workers contacted by EURES continued in 2017. The biggest increase observed in 2017 is 
mainly due to a higher number of individual contacts raised in Italy. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

EURES Sub-objective no 1: Ensure that job vacancies and applications, and any related information are transparent for the potential applicants 

181   See footnote 16 
182   See footnote 16 
183   The policy field “Working conditions » does cover both areas of « labour law » and « safety and health at work » 
184 Aggregated figure for previous years. 

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and the employers 
Actions  to promote  mobility  of  individuals  in  the  Union  (maintenance  and development  of  the 
EURES Portal, communication activities, training activities for EURES, European Job Days) 
EURES Sub-objective no 2: Develop services for the recruitment and placing of workers in employment through the clearance of job vacancies 
and applications at European level 
Actions  to  promote  mobility  of  individuals  in  the  Union  (EURES  cross-border  partnership, 
support to EEA countries and to social partners and Targeted Mobility Schemes)185 
Total 

04 03 02 02 

04 03 02 02 

10,64 

32,29 

21,65 

10 

17 

7 

Outputs 
*Note: output numbers for the DB year and beyond 
reflect the legal basis programmed over 7 years. Output 
numbers for 2014-2016 were adjusted on the basis of 
annual programmes. 

Number of outputs foreseen (F) and produced (P)186 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

6 

F 

communication 

EURES Sub-objective no 1: Ensure that job vacancies and applications, and any related information are transparent for the potential applicants 
and the employers 
Actions  to  promote  mobility  of  individuals  in 
the Union (maintenance and development of the 
EURES  Portal, 
activities, 
training  activities  for  EURES,  European  Job 
Days) 
EURES Sub-objective no 2: Develop services for the recruitment and placing of workers in employment through the clearance of job vacancies 
and applications at European level 
Actions  to  promote  mobility  of  individuals  in 
the  Union  (EURES  cross-border  partnership, 
support to EEA countries and to social partners 
and Targeted Mobility Schemes) 

10 

10 

10 

P 

F 

P 

5 

1 

8 

5 

7 

5 

3 

7 

7 

6 

3 

3 

8 

6 

7 

8 

5 

7 

Specific Objective 3: Promote employment and social inclusion by increasing the availability and accessibility of microfinance for 
vulnerable  people  who  wish  to  start  up  a  micro-enterprise  as  well  as  for  existing  micro-enterprises,  and  by  increasing  access  to 
finance for social enterprises (Microfinance Axis) 
Indicator 1: Number of businesses created or consolidated that have benefitted from EU support 

Baseline 2012 

N/A (EaSI 
Microfinance)187 

EaSI Social 
Entrepneurship (social 
enterprises): 
0 (see note 2) 

Milestones foreseen (cumulative figures) 

2014 

2015 

2016 

2017 
21 000 
businesses 

2018 

2019 

0 

0 

Actual results(data as at 30/9/2017) 

416 

12743 

25830 
500 social 
enterprises  

Actual results(data as at 30/9/2017) 

0  

61  

250 

Target 2020 

41 000 
Businesses 
(note 1) 

1 100social 
enterprises  

Note 1: The milestones and targets have been based on the past experience with Progress Microfinance. Milestone and target are both subject to 
change, as the final budget, the required leverage and the potential co-investments are unknown at this stage 
Note 2: There was no such support offered by the European Commission to social enterprises in the past.  
Note 3: This calculation is based on the initial budget for SE under EaSI guarantees (EUR 40M) multiplied by the expected minimum leverage 
(5.5) and divided by an average investment size of 200 000 EUR per social enterprise. In addition, this target is set taking into account a slower 
take-off of the instruments and a more accelerated disbursement after the first three years. 
Indicator  2: Proportion  of  beneficiaries  that  have  created  or  further  developed  a  business  with  EU  microfinance  that  are 
unemployed or belonging to disadvantaged groups 

Baseline 2013 

59% 
Source: Progress 
Microfinance 
Implementation report 

Milestones foreseen 

2014 

2015 

2016 

2017 
45 % 

Actual results (data as at 30/9/2017) 

na 

30.3% 

19.3% 

17,96% 

2018 

2019 

Target 2020 

50% 

Expenditure related outputs 

Outputs 

Microfinance Sub-objective no 1: Increase access to, and the availability of, microfinance 

Budget line 

Draft Budget 2019 

Number 

EUR million 

185 We adjusted this to the number of supporting activities only. Results (in terms of job placements) are reflected by the new indicator on YfEJ 
186 Unless stated otherwise, differences between planned and produced outputs result from shifts in priorities or other informed decisions (e.g. integration of several 
actions) and present no impact for the overall achievement of the supported specific objectives. 
187 For Progress Microfinance, the target is in microloans, not final recipients 

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Support  to  microfinance  and  social  enterprises  in  particular  through  the  financial  instruments 
(microloans) 
Microfinance Sub-objective no 2: Build up the institutional capacity of microcredit providers 
Support to microfinance in particular through funding for building up capacities (no. microcredit 
providers supported) 
Microfinance Sub-objective no 2: Support the development of social enterprises 
Support to social enterprises in particular through funding and grants (no. social enterprises that 
obtained loans/equity) 
Total 

04 03 02 03 

8200 

11,68 

04 03 02 03 

7 

2,4 

04 03 02 03 

270 

10,69 

24,77 

Number of outputs foreseen (F) and produced (P)188 
2017 

2018 

Outputs 

0 

F 

P 

410 

2019 

2015 

2014 

2 870 

through 

the  financial 

2016 
Microfinance Sub-objective no 1: Increase access to, and the availability of, microfinance 
Support to microfinance and social enterprises in 
6 150 
instruments 
particular 
(microloans) 
Microfinance Sub-objective no 2: Build up the institutional capacity of microcredit providers 
Support  to  microfinance  in  particular  through 
funding 
(no 
microcredit providers supported) 
Microfinance Sub-objective no 2:Support the development of social enterprises 
Support 
in  particular 
through  funding  (no  social  entreprises  that 
obtained loans/equity) 
*Please note that the yearly division and the total amount are only indicative as relevant variables such as co-investment, leverage rate and 
management mode are still subject to change. This is also the reason for the discrepancy with outputs indicated in the Commission’s proposal on 
the EaSI Regulation COM(2011) 609. 

for  building  up  capacities 

to  social  enterprises 

14 151 

12 600 

8 200 

8 200 

6 150 

9 020 

2020 

270 

187 

421 

203 

297 

270 

202 

95 

63 

13 

F 

P 

F 

P 

4 

0 

8 

4 

4 

5 

7 

7 

0 

0 

4 

0 

0 

5. Programme contribution to the Sustainable Development Goals 
SDG 5 Achieve gender equality and empower all women and girls. This is achieved indirectly by the fact that EaSI, in pursuing its 
general objectives, aims to equally fulfil its horizontal objectives, one of them being targeted at promoting equality between women 
and men, including through gender mainstreaming and, where appropriate, gender budgeting. 189 
SDG 8 Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent  work for all. 
EaSI work programmes contribute to the  implementation of the Commission's political guideline "a New Boost for Jobs, Growth 
and Investment"190. For instance, the EaSI WPs for 2015 and 2016 contributed to the implementation of: proposal for a Council 
Recommendation  on  Integration  of  the  long  term  unemployment,  New  Skills  Agenda  for  Europe,  the  Labour  Mobility  Package, 
review of the EU Health and Safety Legislation and a Pillar of Social Rights. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 
EaSI financial instruments, in particular the Guarantee part of the scheme has started successfully in 2015 and continued in  2017. 
Concerning the MF/SE axis, after the signature of the Delegation Agreement with the EIF in 2015, the implementation of the EaSI 
Guarantee  continued in 2017. By the end of 2017, 62 operations (49 for Microfinance and 13 for Social Entrepreneurship) have 
already been signed in 24 countries for a total amount of EUR 105.1m, (75.7m for Microfinance and  EUR 29.4 million for Social 
Entrepreneurship). The initial EaSI budget of EUR 56 million for microfinance has already been exhausted in 2017 which led to a 
EUR 100 million top-up from EFSI. In light of this, the initial total EU budget earmarked for this instrument over 2014-2020 has 
been increased  from EUR 96  million to EUR 196  million  for the MF/SE axis. The 62 signed transactions alone  are expected to 
unlock more than EUR 1.3 billion of financing for micro-and social enterprises thanks to a leverage effect, already surpassing the 
initial target of EUR 528 million set for the initial EUR 96m for the whole programming period. 

In  2018-2019  period,  the  EaSI  Guarantee  for  microfinance  and  social  entrepreneurship  will  pursue  its  deployment  with  the 
additional resources provided by the European Fund for Strategic Investments (EFSI), and in view of a further top-up under EFSI 
2.0. Other instruments such as the EaSI capacity-building instrument and the EFSI Equity social impact pilots (social incubation 
facility and social business angel co-investment facility) will continue to be implemented. The EaSI Funded instruments (i.e. loans 
to  primarily  non-bank  intermediaries)  and  the  grant  pilot  for  business  development  services  targeting  refugees  and  migrants  are 
expected to be launched in the course of 2018. In addition, a follow-up transaction cost support grant is planned in 2018-2019 to 
continue  support  small  investments  of  up  to  EUR  500  000  in  social  enterprises,  complementing  the  support  provided  under  the 
EFSI Equity social impact pilots. 

188 Unless stated otherwise, differences between planned and produced outputs result from shifts in priorities or other informed decisions (e.g. integration of several 
actions) and present no impact for the overall achievement of the supported specific objectives. 
189 More information on gender mainstreaming can be found in the section 4. 
190 One of the political guidelines of the Juncker Commission as defined in the "Agenda for Jobs, Growth, Fairness and Democratic Change" 

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HEADING 1A: Competitiveness for growth and jobs 

European Solidarity Corps (ESC) 
Lead DG: EAC 

I. Programme Overview 

What the programme is about? 

The European Solidarity Corps, offers young people between the ages of 18 and 30 the opportunity to take part in a wide range of 
solidarity activities across the EU, with the aim of having 100 000 young people taking part by the end of 2020. 

Since December 2016, eight different programmes have been mobilised to give young people the chance to take part in a range of 
solidarity  activities  addressing  challenging  situations  across  the  EU.  Participation  not  only  benefits  young  people's  personal 
development, active involvement in society and employability, but also assists non-governmental organisations, public bodies and 
companies  in  their  efforts  to  cope  with  societal  and  other  challenges.  As  well  as  offering  volunteering,  traineeships  and  job 
placements, in the future the European Solidarity Corps would also offer participants the opportunity to set up their own solidarity 
projects or to volunteer as a group. On 30 May 2017, the Commission presented a proposal to put the European Solidarity Corps on 
a  firm  footing,  with  a  budget  of  EUR  341.5  million  for  the  years  2018-2020  and  a  dedicated  legal  base.  In  addition,  the 
Commission proposed to extend opportunities for young people. 

EU added value of the programme 

The  European  Solidarity  Corps  will  enhance  the  European  dimension  of  solidarity,  complementing  existing  public  and  private 
policies,  programmes  and  activities  without  creating  competition  or  substitution  effects.  The  Corps  will  address  unmet  societal 
needs, which cannot be addressed by the labour market, existing volunteering activities or by other types of solidarity programmes,  
The EU value added of the programme will derive from the cross-border character of the activities, in addition to those developed 
at national or regional levels. 

While actions to tackle socio-economic problem areas are primarily the responsibility of the Member States and regions and have to 
be  taken  closest  to  the  citizen  at  national  and  sub-national  levels,  the  EU  has  a  role  to  play  in  identifying  shared  challenges, 
stimulating cooperation and transnational mobility, encouraging synergies, and promoting the sharing of good practices and mutual 
learning, and supporting a Europe-wide approach to social innovation, where there is clear value added for European solutions.   

II. Programme Update 

Forthcoming implementation (2018-2019)  

The  European  Solidarity  Corps  legal  base  is  not  expected  to  enter  into  force  before  the  summer  of  2018.  Regarding  the 
implementation of volunteering activities, appropriate transitional measures for the first half of 2018 have been put in place in the 
context  of  the  Erasmus  +  Programme.  These  measures  should  be  sufficient  to  guarantee  continuity  of  volunteering  activities  in 
2018, i.e. to avoid any disruption in the flow of volunteering placements, before the implementation of the Corps under the new 
legal base can start. 

It's expected that 2019 will be the first year of the full-fledged implementation of the European Solidarity Corps. Without prejudice 
of  the  outcome  of  the  negotiation  of  the  legislative  proposal,  the  envisaged  indicative  share  of  costs  is  80%  for  volunteering 
placements and solidarity projects and 20% to traineeships and jobs. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  The  Council  on  the  European  Solidarity 
Corps  and  amending  Regulations  (EU)  No 1288/2013,  (EU)  No  1293/2013,  (EU)  No  1303/2013,  (EU) 
No  1305/2013,  (EU)  No  1306/2013  of  the  European  Parliament  and  of  the  Council  and  Decision  No 
1313/2013 of the European Parliament and of the Council 

Period of 
application 

Reference Amount 
(EUR million) 

2018 - 2020 

341,5 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 
Contribution from other Programmes * 

4,6 
38,2 
42,8 
5,3 

4,6 
98,6 
103,1 
3,5 

3,9 
114,4 
118,3 
3,5 

Total 
Programme 
13,0 
251,2 
264,2 
12,3 

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*Contribution from the technical assistance allocated to the European Social Fund, the European Agricultural Fund for Rural Development, LIFE 
Programme, the Union Civil Protection Mechanism. 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

Voted appropriations 

Authorised appropriations (*) 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

CA 

p.m. 

p.m. 

2018 

Impl. Rate 

0,00 % 

0,00 % 

PA 

p.m. 

p.m. 

Impl. Rate 

0,00 % 

0,00 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - Not applicable 

4. Performance information 

General objectives 

General  Objective  1: to  enhance  the  engagement  of  young  people  and  organisations  in  accessible  and  high  quality  solidarity 
activities as a means to contribute to strengthening cohesion and solidarity in Europe, supporting communities and responding to 
societal challenges 

Specific objectives 

Specific  Objective  1: to  provide  young  people,  with  the  support  of  organisations,  with  easily  accessible  opportunities  for 
engagement  in  solidarity  activities  while  improving  their  skills  and  competences  for  personal,  educational,  social,  civic  and 
professional development, as well as their employability and facilitating transition to regular employment 

Specific Objective 2: to ensure that the solidarity activities that are offered to the European Solidarity Corps participants contribute 
to addressing concrete societal challenges and strengthening communities, and are of high quality and properly validated 
Expenditure related outputs 

Outputs 

Budget line 

Participants in volunteering Placements 
Participants in traineeships and jobs 
Participants in project-based initiatives 
Participants in networking activities 
Participants receiving general training 
Participants in cross-border placements receiving specific training 
Participants in cross-border placements receiving online linguistic support 

Participants enrolled in the European Solidarity Corps insurance 
Participants receiving a certificate 
Organisations receiving quality label 
European Solidarity Corps Portal 
Resource Centre 
National Agencies receiving a Management fee 

15 05 01 
 (EUR 98,6 
million)191 

Draft Budget 2019 

Number 
17 500  
6 500  
5 400  
24 500  
30 000  
15 635  

19 435  

22 600  
34 400  
4 000  
1  
1  
28  

EUR million 
57.1 
14.5 
6.4 
4.9 
1.0 
15.6 

0.9 

5.7 
0.2 
1.4 
1.0 
0.1 
5.4 
114.2    

Total 

Outputs 

Participants in volunteering Placements 

Participants in traineeships and jobs 

Participants in project-based initiatives 

Participants in networking activities 

Participants receiving general online training 

Number of outputs foreseen (F) and produced (P) 

2018* 
6 900 

4 500 

3 800 

2019 
17 500 

6 500 

5 400 

2020 
20 000 

7 400 

6 000 

17 500 

24 500 

28 000 

21 500 

30 000 

34 500 

F 
P 
F 
P 
F 
P 
F 
P 
F 

191 Contributions from other programmes in 2019: the European Social Fund, LIFE Programme, the Union Civil Protection Mechanism look as follow: 04 02 65 (EUR 
12,1 million), 07 02 07 (EUR 1 million), 34 02 05 (EUR 0,5 million), 2303 01 03 (EUR 2 million). 

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Outputs 

Number of outputs foreseen (F) and produced (P) 

2018* 

2019 

2020 

Participants in cross-border  placements receiving specific trainings  

Participants in cross-border  placements receiving online linguistic support 

Participants  enrolled  in  the  European  Solidarity  Corps insurance 

P 
F 
P 
F 
P 
F 
P 

3 000 

15 635 

20 101 

0 

0 

19 435 

22 215 

22 600 

25 827 

Justification of changes to the financial programming and/or to the performance information 

*In 2018, to enable transitional measures until the adoption of the ESC Regulation, € 30 million initially planned under the 
European Solidarity Corps (in DB 2018) have been actually voted on Youth Budget line (Erasmus+). The 2018 foreseen outputs 
have been updated accordingly.     

5. Programme contribution to the Sustainable Development Goals 

Through its different actions the European Solidarity Corps contributes to: 
SDG 1. End poverty in all its forms everywhere Through its activities to achieve social inclusion through solidarity activities, the 
European Solidarity Corps contributes to SDG 1, in particular its target of reducing at least by half the proportion of men,  women 
and children of all ages living in poverty in all its dimensions according to national definitions. 

SDG 3. Ensure healthy lives and promote well-being for all at all ages Through its solidarity activities and community building 
activities, the European Solidarity Corps promotes healthy habits and well-being, particularly among the youth, hence contributing 
to SDG 3, notably to its target on reducing by one third premature mortality from non-communicable diseases through prevention 
and treatment and promote mental health and well-being. 

SDG  5.  Achieve  gender  equality  and  empower  all  women  and  girls  The  European  Solidarity  Corps  aims  at  removing  social 
obstacles for participation in it for people facing discrimination because of gender, among other reasons. 

SDG 8. Promote sustained,  inclusive and sustainable economic growth, full and productive  employment  and decent work 
for all All the actions of the European Solidarity Corps contribute to increase the employability of the young people that participate 
in it, as shown by several studies. This is achieved through a combination of several outcomes, e.g. the acquisition of new skills, 
increased  autonomy,  increased  knowledge  of  foreign  languages,  etc.  The  emphasis  on  inclusion  aims  to  ensure  that  all  can  reap 
these benefits irrespective of disadvantage. 

SDG  10.  Reduce  inequality  within  and  among  countries  Special  attention  is  paid  to  ensure  that  activities  supported  by  the 
European Solidarity Corps are accessible to all young people, notably the most disadvantaged ones. To this end, special measures 
should be put in place to promote social inclusion, the participation of disadvantaged young people, as well as to take into account 
the  constraints  imposed  by  the  remoteness  of  the  outermost  regions  of  the  Union  and  the  Overseas  Countries  and  Territories. 
Similarly,  the  participating  countries  should  endeavour  to  adopt  all  appropriate  measures  to  remove  legal  and  administrative 
obstacles  to  the  proper  functioning  of  the  European  Solidarity  Corps.  These  include  resolving,  where  possible,  and  without 
prejudice  to the Schengen acquis and Union  law on the entry and residence of third-country  nationals, administrative issues that 
create difficulties in obtaining visas and residence permits. 

SDG  16.  Promote  peaceful  and  inclusive  societies  for  sustainable  development,  provide  access  to  justice  for  all  and  build 
effective, accountable and inclusive institutions at all levels One of the aims as regards young people participating in any of the 
solidarity activities supported under the European Solidarity Corps is a more active participation in society. 

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HEADING 1A: Competitiveness for growth and jobs 

Action programme for customs in the European Union (Customs 2020) 
Lead DG: TAXUD 

I. Programme Overview 

What the programme is about? 

Customs2020 aims to improve the proper functioning and modernisation of the customs union. It focuses on supporting customs 
authorities  in  protecting  the  financial  and  economic  interests  of  the  union  and  of  the  Member  States,  including  the  fight  against 
fraud and the protection of intellectual property rights, to increase safety and security, to protect citizens and the environment, to 
improve the administrative capacity of the customs authorities and to strengthen the competitiveness of European businesses. The 
vast  majority of programme  funding (approx. 80 %)  goes into the development and operation of European Information Systems, 
followed by the organisation of the joint actions, the cooperation and collaboration side (around 15 %), and the training activities 
(around 5 %). 

Strengthening security and protection of citizens while facilitating legitimate international trade, pursuing customs modernisation 
and  developing  and  managing  an  effective  and  efficient  EU  customs  union  have  been  part  of  the  Union's  priorities.  The 
achievement of these priorities is enabled under the programme, mainly through setting-up of a paper-less customs environment. 
This environment improves both the trade facilitation and the effective enforcement of rules for protection of EU financial, safety 
and security interests. Mainly, the European Information Systems supported by Customs 2020 play a vital role in interconnecting 
customs authorities.  

Regarding  operational  cooperation,  the  programme  funds  expert  teams,  namely  structured  forms  of  cooperation,  with  a  non-
permanent  or  permanent  character,  pooling  expertise  to  perform  tasks  in  specific  domains  or  carry  out  operational  activities, 
possibly with the support of online collaboration services, administrative assistance and infrastructure and equipment facilities.  

The programme finances also the development of eLearning courses on topics of common interest in collaboration with customs 
administrations  and  representatives  of  trade.  Moreover,  the  collaboration  between  customs  officials  is  a  key  sustainable  success 
factor for implementing customs policy in Europe. This collaboration improves the understanding and the implementation of the 
customs  law.  It  ensures  the  exchange  of  best  practices  and  knowledge  and  creates  the  framework  for  joining  efforts  when  IT 
solutions are developed. It also enhances the administrative capacity of participating countries. 

EU added value of the programme 

The  customs  union  is  an  exclusive  competence  of  the  Union.  The  implementation  of  Union  legislation  is  however  a  national 
competence.    The  Union  legal  framework  in  itself  does  not  ensure  sufficiently  the  proper  functioning  of  the  customs  union.  It 
should  be  complemented  by  supporting  measures  as  provided  by  the  Customs  programme  in  order  to  ensure  that  EU  customs 
legislation is applied in a convergent and harmonised way at national level. 

Many of the activities in the customs area are of a cross-border nature, involving and affecting all 28 Member States, and therefore 
they cannot be effectively and efficiently delivered by individual Member States. The Customs 2020 programme, implemented by 
the  Commission,  offers  Member  States  a  Union  framework  to  develop  activities  through  cooperation  amongst  national  customs 
officials,  on  the  one  hand,  and  IT  cooperation,  on  the  other  hand.  This  set-up  is  more  cost  efficient  than  if  each  Member  State 
would set up its individual cooperation framework on a bilateral or multilateral basis. 

From an economic point of view, action at EU level is much more efficient. The backbone of the customs cooperation is a highly 
secured dedicated communication network. It interconnects national customs administrations in approximately 5 000 connection 
points. This common IT network ensures that every national administration only needs to connect once to this common 
infrastructure to be able to exchange any kind of information. If such an infrastructure were not available, Member States would 
have to link 28 times to the national systems of each of the other Member States. 

II. Programme Update 

Implementation Status (2014-2017) 

The data collected in the performance measurement of the programme in 2014 (first year of implementation), 2015 and 2016 shows 
that the  Customs 2020 programme progressed towards obtaining its objectives and towards achieving the expected results of the 
projects  planned  in  the  Annual  work  programmes.  The  results  measured  within  the  programme's  performance  measurement 
framework for 2014, 2015 and 2016 indicate that the overall implementation of the programmes is on track, without delays. The 
numbers of actions, events and participants remained during the period at high levels, testifying to a strong demand from business 
owners  and  national  administrations  for  programme  activities.  The  indicators  suggest  that  the  programme  was  on  course  to 
fulfilling its objectives and that it played an important role in facilitating the implementation and development of Union customs 
policy  through  its  European  Information  Systems,  joint  actions  and  human  competency  building.  In  2014,  a  score  of  3,2  was 
achieved on the extent to which programme activities achieved their expected results, on a scale from 0 to 4 (fully).   In 2015 and 

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2016,  this  value  was  3,3,  testifying  to  the  gradual  increase  in  the  achievement  of  results  over  the  course  of  the  programme's 
implementation.  The data for 2017 is still in the process of collection at the time of writing. 

The  core  outcomes  of  Customs  2020  programme  are  the  European  IT  systems.  These  systems  mainly  create  the  conditions  for 
setting-up and functioning of a more modern and paper-less customs environment. In December 2012, in its Communication on the 
State of the customs union, the Commission set out a course of action to modernise, strengthen and rationalise the customs union in 
the years ahead. The first priority concerned the modernisation of the customs union which resulted end-2013 amongst others in the 
adoption  of  the  Union  Customs  Code  (UCC),  the  legal  framework  to  shift  customs  towards  a  paperless  and  fully  electronic 
environment  as  well  as  the  Union  Customs  Code  (UCC)  Delegated  and  Implementing  Acts  (2015)  and  the  UCC  Transitional 
Delegated Act (2016).  

In 2014-2017 period, work on the implementation of the Union Customs Code progressed under the programme, notably to ensure 
that all Union Customs Code electronic systems are deployed in accordance with UCC legal deadlines. Ensuring the business and 
IT systems’ continuity is a major responsibility under the programme since disruptions in the operation of the European IT systems 
would  affect  customs  national  administrations,  citizens  and  businesses  across  the  entire  EU  and  hamper  the  functioning  of  the 
internal  market.  All  the  major  centralised  IT  systems,  as  well  as  the  underlying  infrastructure  (Common  Communications 
Network/Common  Systems  Interface  CCN/CSI)  –  developed,  managed  and  maintained  by  the  Commission  -  were  available  as 
scheduled during the period 2014-2017, with more than 99% of the time during working hours, meeting the expected targets.  

The collaboration between customs officials is a key sustainable success factor for implementing customs policy in Europe. This 
collaboration improves the understanding and the implementation of the customs law.  

Indeed, the  feed-back  from participants in joint actions collected under the performance  measurement  framework  shows that the 
collaboration  robustness  between  programme  stakeholders  (Customs  administrations  and  their  officials)  is  progressing  in  the 
desired direction. In 2014, more than 95% of the responding participants declared that the programme provided a good opportunity 
for them to expand their network of (and contacts with) officials abroad;  similar outcome is maintained in 2015 (96%), 2016 and 
2017  (97%).  Additionally,  in  the  same  period,  the  number  of  respondents  who  declared that  they  have been in contact for  work 
purposes  with  the  officials  they  met  during  programme  activities  after  the  activities  averaged  at  around  70%  during  201-2016, 
raising to 84 % in 2017. 

Key Achievements  

Strengthening security and protection of citizens while facilitating legitimate international trade, pursuing customs modernisation 
and developing and managing an effective and efficient EU customs union have been part of the Union's priorities. Those priorities 
are implemented to a large extent through Customs 2020 programme. 

The  achievement  of  these  priorities  is  enabled  under  the  programme,  mainly  through  setting-up  of  a  paper-less  customs 
environment.  This  environment  improves  both  the  trade  facilitation  and  the  effective  enforcement  of  rules  for  protection  of  EU 
financial, safety and security interests. Mainly, the European Information Systems supported by Customs 2020 play a vital role in 
interconnecting  customs  authorities.  The  functioning  of  these  IT  systems  is  enabled  by  a  closed  and  secure  Common 
Communication Network/Common Systems Interface (CCN/CSI). In  2014-2017, the CCN/CSI had the required high availability 
and  reliability.  Meanwhile,  the  number  of  exchanged  messages  on  the  network  has  been  rising:  2.7  billion  (2014),  3.2  billion 
(2015), 4.5 billion (2016) and 4.8 billion (2017). Looking only at messages exchanges on the Customs systems on the network, the 
numbers are also indicating a rise : 440 million (2014), 450 million (2015),  520 million (2016) and 540 million (2017). The Import 
Control (ICS) and the Export Control (ECS) systems are two of the main systems which contribute to increased interconnectivity 
among  Member  States  and  with  economic  operators.  The  high  volume  of  information  channelled  via  CCN/CSI,  ICS  and  ECS 
shows that the programme is a solid and robust enabler for the paper-less environment and information exchange amongst customs 
and tax authorities. Furthermore, the data that economic operators provide in ICS is fed into risk management processes.  

The correct calculation of tariffs and the fight against fraud are crucial to the protection of EU's financial interests. The IT systems 
like NCTS allowed to monitoring the movement of goods within the EU territory and identify cases of fraud or non-payment of 
customs  duties.  It  has  created  traceable  records  for  each  transit  transaction  reducing  the  deviation  from  standard  procedures.  In 
2014 only, more than 10 million movements were recorded via the system.  The system maintains high availability rate, which in 
2017 stood at 99,3%. 

In  2017,  further  IT  developments  and  adaptations  of  the  IT  environment  to  the  Union  Customs  Code  and  implementing  acts' 
provisions have been carried out, bringing the total number of European Information Systems in operations, as per Annex 1 of the 
Customs 2020 regulation, to 49. These developments  were essential for a well-functioning and modern customs union.  As a first 
tangible result of the  UCC, the new Customs Decision System (CDS)  was put in operation in 2017, to be used by all competent 
decision-taking authorities and economic operators. It enables European traders to benefit from authorisation having been granted 
with EU wide validity and being managed in a harmonised way across the EU customs territory. From January 2017, the Registered 
Exporter  System  (REX)  facilitates  the  certification  of  origin  of  goods  under  the  Generalised  System  of  Preference  (GSP).  It  is 
based on a principle of self-certification by economic operators that were registered in a database by their competent authorities.  

In the 2014-2017 period, customs officials exchanged views and best practices in the joint actions organised under the programme. 
Working  practices,  administrative  procedures  and  guidelines  were  developed  and  shared  among  the  national  administrations 
following  the  joint  actions.  These  outcomes  assist  countries  to  increase  the  performance,  effectiveness  and  efficiency  of  the 
customs administration. Guidelines and recommendations were also produced to support the implementation of Union law in the 

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national administrations. They identify and address outstanding technical issues and constitute background information for Union 
law  preparation  and  review.  Across  the  programme,  over  1000  guidelines  and  recommendations  were  issued  in  the  national 
administrations following participation in programme activities (according to data available in February 2017). In the same period, 
more than 98% of the responding  participants in these joint actions declared that from a professional point of view, the activities 
were very useful or useful. In the coming years, it is intended to maintain a similar high level of relevance perception. 

Expert  Teams  represent  a  new  tool  from  the  programme  tool-box  supporting  enhanced  operational  collaboration  ("géométrie 
variable"), either on a regional or on a thematic basis. This tool allows willing Member States to bring their cooperation to a next 
dimension  of  European  integration  at  the  policy  implementation  level.  The  expert  teams  approach  allows  customs  experts  of 
Member States to have in depth cooperation on operational issues which go beyond the traditional means of cooperation to realise 
the  pre-identified objectives of a common  long term project. The Expert Teams that  were created for customs in 2016 started to 
produce their outputs (laboratories, Binding Tariff Information, operational cooperation at the EU Easter and South-Eastern land 
border). All the Expert Teams are active between 14 and 24 months. Some of the most relevant deliverables were produced by the 
CELBET Expert Team for border management between 11 Member States of the eastern and south-eastern land border. CELBET 
carried out a mapping and analysis of border crossing points (BCPs) and developed instructions and methodology for evaluating the 
level of smuggling (random controls). The CLET Expert Team, in the area of customs laboratories, pools expertise and equipment 
in  a  network  (Meta-laboratory)  to  analyse  samples  and  to  share  analytical  results.  One  Member  State  -  not  having  analytical 
capacity in a specialised area - can submit a request for analysis to another MS who will provide the analytical result for free.   

The Customs 2020 programme finances also the development of eLearning courses on topics of common interest in collaboration 
with customs administrations and representatives of trade. Such courses support the implementation of EU legislation and ensure 
the  dissemination  of  good  customs  practices  throughout  the  European  Union.    In  2015,  TAXUD  started  to  develop  the  UCC 
eLearning  programme  composed  of  1  overview  course  and  14  domain  specific  courses.  These  15  modules  were  released  early 
2016. Two new EU eLearning modules were produced in 2017for national public and private sector training, namely on the new 
UCC Customs Decision Systems (CDS IT System) and the new UCC EBTI-3 IT system. In total, there are 30 eLearning courses on 
the  customs  area,  all  of  which  support  customs  professionals  from  both  public  and  private  sector  to  understand  the  changes  and 
prepare themselves for the modernisation wave that the UCC. The number of officials trained by using common training material 
has risen substantially, from 4.776 in 2014 to 19.234 in 2017. This rise can be attributed to the new releases of training modules and 
the  big  interest  in  UCC  training.    In  parallel,  some  of  the  eLearning  courses  are  also  available  for  download  from  EUROPA 
website,  where they can be downloaded by economic operators and other interested stakeholders. The  number of downloads has 
risen significantly, from 3.219 (2014) to 12.291(2017).  In addition to eLearning, new efficient EU training tools were introduced in 
form of an EU eBook (on EU AEO Guidelines). 

Evaluations/studies conducted 

The  studies  cover  mainly  technical  customs  issues,  such  as  enrichment  of  the  database  of  chemical  names,  and  product  analysis 
(e.g.  drugs  or  pharmaceutical  substances).  An  evaluation  is  currently  underway  concerning  the  European  Customs  Inventory  of 
Chemical Substances (ECICS), a database identifying chemicals and related international nomenclature. 

The objective of ECICS is to assist Commission services, economic operators, customs officers and other administrations dealing 
with external trade of chemicals. ECICS permits to:  

 
 
 

clearly and easily identify chemicals;  
classify them correctly and easily in the Combined Nomenclature;  
name them in a number of EU languages for regulation purposes.  

The purpose of the evaluation is to assess the effectiveness, efficiency, relevance, (achieved) EU added-value and sustainability of 
the  European  Customs  Inventory  of  Chemical  Substances  (ECICS),  and  its  coherence  vis-à-vis  other  existing  databases.  The 
planned completion date is (end of) Q1 2018. 

The Customs 2020 programme also financed in 2016 the Impact Assessment review of Regulation (EC) Nr 1889/2005 on controls 
of  cash  entering  or  leaving  the  Community.  This  review  demonstrated  the  need  to  revise  this  Regulation  to  take  account  of  the 
evolution  of  international  norms,  the  EU  anti-money  laundering  /  anti-terrorist  financing  framework  and  to  take  stock  of  the 
Commission priorities listed in the 2016 Terrorism Finance Action Plan.   
As  a  result,  on  21  December  2016,  the  Commission  adopted  a  package  of  measures  to  strengthen  the  EU's  capacity  to  fight  the 
financing  of  terrorism  and  organised  crime,  which  includes  the  proposal  for  a  new  cash  controls  Regulation  that  tightens  cas 
controls on people entering or leaving the EU with EUR 10 000 or more in cash. It enables authorities to act on amounts lower than 
the  present  declaration  threshold  of  €10,000,  where  there  are  suspicions  of  criminal  activity.  The  regulation  extends  customs 
competences to check cash sent in postal parcels or freight shipments and to precious commodities such as gold. A provision in the 
proposal also makes it possible to consider certain types of prepaid cards as cash, if sufficient indications of abuse are present. The 
proposal sets up a new framework for the exchange of data between competent authorities within and between Member States. 

In 2017, DG TAXUD launched a study to support the impact assessment of a new legal act to establish the EU Customs Single 
Window  environment  for  cross-border  movements  of  goods.  This  study  will  support  defining  the  costs  benefits  analysis  of  the 
different options identified in the Impact Assessment. The EU Customs Single Window can be implemented through a number of 
options, with different roles for the EU and the Member States. This study will support the definition of the costs benefits  with a 
focus on the benefits for economic operators. 

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In the future TAXUD plans to conduct an evaluation on the Union Customs Code (to be delivered in 2021), and a comprehensive 
fitness check once all the electronic systems have been implemented. The fitness check will enable the Commission to decide in the 
longer  term  whether  any  major  policy  changes  need  to  be  made  so  that  the  UCC  remains  fit  for  purpose  in  a  global  trading 
environment and so that it continues to ensure a proper balance between trade facilitation and controls. 

In  addition  to  technical  studies  and  evaluations,  the  mid-term  evaluation  of  Customs  2020  was  launched  in  2017  and  the  final 
evaluation  of  the  programme  is  planned  for  2020  (in  accordance  with  Ar.  18.1  of  Regulation  1294/2013).  The  studies  and 
evaluations 
the  TAXUD  EUROPA  website: 
https://ec.europa.eu/taxation_customs/calls-tenders-grants-calls-expression-interest_en  and  on  the  and  on  the  EU  Bookshop  on 
https://bookshop.europa.eu/en/home/ (author: Directorate-General for Taxation and Customs Union) 

the  programme  Customs  2020  can  be 

financed  under 

found  on 

Forthcoming implementation (2018-2019)  

In the coming years, emphasis will be put on improving the administrative capacity of Member States, be it through IT capacity 
building,  traditional  and  innovative  forms  of  cooperation  or  human  competency  building  initiatives.  The  capacity  of  customs 
administrations is indeed instrumental to ensure they run efficiently the customs union. In the medium-term, the implementation of 
the following programme's main outcomes will be pursed to achieve the customs policy objectives: 

1.  Ensuring  business  continuity  of  existing  European  IT  systems  and  development  of  new  ones.  New  forms  of  IT  collaboration, 
such as Expert Teams in the  area of IT systems,  will be put in place, increasing the  number of  shared IT activities and reusable 
components among Member States. This approach should reduce the costs for deploying EU wide customs IT systems, both at EU 
and  national  level  while  responding  more  agile  to  European  customs  union  policy  needs.  In  particular  for  2019,  it  is  planned  to 
create an Expert Team on IT collaboration among Member States,  with a view to finding effective and cost-benefit solutions for 
future Customs IT requirements post 2025. This Expert Team follows the Council "Conclusions on the way forward to developing 
Customs IT systems" (November 2017), as the Council invited the Commission and the Member States to explore new approaches 
to develop and operate future Customs IT systems,  to be preceded by a  more thorough  study, including, i.a. the  scope of a  pilot 
project, stakeholders, financing and possible involvement of a permanent structure or shared supplier for IT. 

2. Enhancing the traditional collaboration between customs officials to ensure high standards of administrative capacity. Under the 
programme, activities will be put in place to strengthen the operational cooperation through the use of expert teams, which will be 
pooling expertise to perform tasks in specific domains, in particular for the European Information systems. In particular for 2019, a 
new  Customs  Eastern  and  South-Eastern  Land  Border  Expert  Team  (CELBET  2)  will  be  created  to  continue  the  work  on 
strengthening  and  improving  the  operational  co-operation  among  its  members  using  a  new  way  of  working  to  harmonise  the 
management at the EU external land border. The current Expert Team (CELBET I) is analysing the existing practices and exploring 
the  strengths  and  weaknesses  of  174  commercial,  non-commercial  and  rail  border-crossing  points  (BCPs)  situated  at  the  EU 
external  land  border. The  outcomes  will  give  a  broader  picture  of  threats,  gaps  related  to  resources,  control  equipment,  working 
methods and management of risks across the EU Eastern and South-Eastern land BCPs. CELBET 2 will take the outcomes of the 
current project and implement them to the extent possible in the participating Member States taking into account the peculiarities of 
the different BCPs. 

3  Reinforcing  the  capacity  of  customs  administrations  and  development  of  new  skills  of  their  officials  by  steering  the 
implementation  of  the  human  competency  framework  for  customs  administrations.  In  particular,  the  development  of  a  common 
multi-annual customs and tax training and staff development Action Plan (2017 – 2020) in 2017 will provide the necessary policy 
back-up and national engagement for common EU training & staff development measures in the years to come (SWD status) and 
contributes further specifically to the implementation of the EU Customs Governance. 

III. Programme key facts and performance framework 
1. Financial programming 

Regulation (EU) No 1294/2013 of the European Parliament and of the Council of 11 December 2013 
establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 
2020) and repealing Decision No 624/2007/EC 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

522,9 

Administrative support 
Operational appropriations 
Total 
2. Implementation rates 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

0,1 
66,3 
66,4 

0,1 
68,8 
68,9 

2017 

0,1 
71,7 
71,8 

0,1 
89,2 
89,3 

0,1 
78,9 
79,0 

0,1 
75,2 
75,3 

0,1 
78,3 
78,4 

2018 

Total 
Programme 
0,7 
528,3 
529,0 

Voted appropriations 

CA 
89,301 

Impl. Rate 
100,00 % 

PA 
64,964 

Impl. Rate 
99,74 % 

CA 
78,961 

Impl. Rate 
15,48 % 

PA 
72,100 

Impl. Rate 
21,44 % 

Authorised appropriations (*) 

92,762 

96,86 % 

68,444 

95,77 % 

81,904 

14,93 % 

74,939 

21,30 % 

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(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - Not applicable 

4. Performance information 
General objectives 

General Objective 1: to support the functioning and modernisation of the customs union in order to strengthen the internal market 
by means of cooperation between participating countries, their customs authorities and their officials 
Indicator 1: International Logistics Performance Index (LPI) 

Baseline 
2010 

15 MSs within the top 30 

9 MSs between the ranks 
31-60; 

(7 MSs between the ranks 
31-50; 

3 MSs between the ranks 
51-60) 

3 MSs below the rank 60 
(dimension of LPI focused 
on customs and border 
management clearance) 
Including Croatia, which is 
as EU MS since 2013 – to 
ensure comparison with 
later periods 

2014 
15 MSs within the 
top 30 

12 MSs between 
the ranks 31-60; 

1 MSs below the 
rank 60 

15 MSs within the 
top 30 

9 MSs between 
the ranks 31-50; 

3 MSs between 
the ranks 51-60; 

1 MSs below the 
rank 60 

Specific objectives 

Milestones foreseen 

2015 

2016 

2017 

2018 

2019 

Target 2020 

No Member State 
below the rank 60 

No Member State 
below the rank 60 

No data 
available 
(the LPI is 
measured 
once every 
2 years) 

Actual results 

15 MSs within the 
top 30 

8 MSs between the 
ranks 31-50; 

4 MSs between the 
ranks 51-60; 

1 MSs below the 
rank 60192 

No data 
available 
(the LPI 
is 
measured 
once 
every 2 
years) 

All Member States 
within the top 50 

Specific  Objective  1: to  support  customs  authorities  in  protecting  the  financial  and  economic  interests  of  the  Union  and  of  the 
Member States, including the fight against fraud and the protection of intellectual property rights, to increase safety and security, to 
protect  citizens  and  the  environment,  to  improve  the  administrative  capacity  of  the  customs  authorities  and  to  strengthen  the 
competitiveness of European businesses 
Indicator  1: the  feedback  from  participants  in  actions  under  the  Programme  and  users  of  the  Programme  index  (Collaboration 
robustness) 

Baseline 
2013 
Network opportunity 
(Baseline at the start of the 
programme is zero) 

2014* 
96 % 

70 % 

Milestones foreseen 

2015 
80 % 

90 % 

2016 
80% 

90% 

Actual results 

2017 
80% 

2018 
80% 

2019 

90% 

90% 

Lasting networking effect  
(at least one contact after the end 
of the programme activity) 

Number of face to face meetings: 
380  

Number of on-line collaboration 
groups: 40 

96,58 % 

95,54 % 

96% 

92% 

71,53 % 
380 
increase the annual 
levels 

73,20% 
380 
increase the 
annual levels 

70%193 

380 increase the 
annual levels 

Actual results 

265 
117  
(80 for customs and 37 
joint groups between 
customs and taxation) 

547 
124  
(103 for 
customs and 21 
joint groups 
between 
customs and 
taxation) 

552 
165 
 (127 for customs 
and 38 joint groups 
between customs 
and taxation) 

84% 
380 increase 
the annual 
levels 

448 

147 
(125 for 
customs and 
22 joint 
groups 
between 
customs and 
taxation 

Grow or 
stable 

Target 2020 

80 % 

90 % 

380 

increase the annual 
levels 

192 The composite elements of this indicator are not exclusively related to the performance of the customs administrations. There are equally subjective elements in 
it, namely the opinions of traders and economic operators. For these reasons, it is difficult to rely solely on this indicator when assessing customs performance. 
193 We can observe stability in the levels of this indicator, which has been fluctuating between 70 and 73% in the last three years of measurement. 

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*Figures slightly changed and updated in comparison with AAR2014. 
Indicator 2: number of guidelines and recommendations issued by MS in their national administrations following activities under 
the Programme relating to modern and harmonised approaches to customs procedures 

Baseline 
2013 

Baseline at the start of the 
programme is zero 

Milestones foreseen 

2014* 

94 

2015 
Improve the 
level of 2014 

2016 

Grow or stable 

2017 
Grow or 
stable 

2018 
Grow or 
stable 

108 

151  

Actual results 
82194 

186 

*Figures slightly changed and updated in comparison with AAR2014. 
Indicator 3: the Common Communication Network for the European Information Systems 

2019 

Target 2020 

Improve the level of 
2014 

Baseline 
2013 

99,94 % of the time 
available 

2014 
99,9% 

2015 
99,9% 

2016 
99,9% 

2017 
99,9% 

2018 
99,9% 

2019 
99,9% 

Milestones foreseen 

99,89% 

99,95% 

99,98% 

99,984% 

Actual results 

Target 2020 

99,9% 

Indicator 4: the Union Law and Policy Application and Implementation Index 

Baseline 
2013 
1. Number of actions under 
the Programme organised 
in this area 
2. Number of 
recommendations issued 
following those actions: 
baseline at the start of the 
programme is zero 

Milestones foreseen 

2014* 

67 

2015 
Improve the 
level of 2014 
Improve the 
level of 2014 

2016 
1. Grow or 
stable 
2. Grow or 
stable 

2017 
1. Grow or 
stable 
2 Grow or 
stable 

2018 
1. Grow or 
stable 
2. Grow or 
stable 

67 

312 

65 

290 

Actual results 

123 

Data n.a. 

207 

267 

*Figures slightly changed and updated in comparison with AAR2014. 
Indicator 5: the European Information System Availability 

2019 

Target 2020 

Increase in the 
average score by the 
end of the Customs 
2020 programme 
(2020). 

Baseline 
2013 
Centralised IT customs 
applications (including 
tariff systems): 
 99,11 % of time (business 
hours); 
95 % (otherwise); 

2014 
99 % 

95 % 

99% 
99% 

2015 
97 % 

95 % 

99% 
99% 

Indicator 6: Best Practices and Guideline Index 

Milestones foreseen 

2016 
97 % 

95 % 

2017 
97 % 

95 % 

2018 
97 % 

95 % 

2019 
97 % 

95 % 

Actual results 
98% 
98% 

98,7% 
98,7% 

Target 2020 

97 % 

95 % 

Baseline 
2013 
1. Number of actions under 
the Programme organised 
in this area 

2. % of participants that 
made use of a working 
practice/administrative 
procedure/guideline 
developed/shared with the 
support of the Programme  
Baseline is zero 

2014 

84 

88 % 

2015 
Improve the 
level of 2014 
Improve the 
level of 2014 

85 

200195 

Milestones foreseen 

2016 
1. Grow or 
stable 

2017 
1. Grow or 
stable 

2018 
1. Grow or 
stable 

2. Grow 

2. Grow 

2. Grow 

Actual results 
191 

92 

50,42% 

81,01% 

68,25%196 

75% 

2019 

Target 2020 

Increase compared to 
2014 

*Figures slightly changed and updated in comparison with AAR2014. 
Indicator 7: Learning Index 

Baseline 
2013 
1. Number of officials 
trained by using common 

2014 

4112 

2015 
Improve the 
level of 2014 

Milestones foreseen 

2016 

2017 

2018 

2019 

1. Grow 

1 Grow 

1. Grow 

Target 2020 

Increase compared to 
2014 

194 It is worth clarifying that the recommendations and guidelines are counted here individually, rather than by the number of documents containing them.  
Fluctuations in this indicator, however, need to be interpreted carefully, as not every recommendation or guideline is equally important and is dependent on its actual 
business value 
195 Data has been improved and now shows the number of all actions – both newly launched in that year and those launched in previous years but still ongoing.   
196 This represents a substantial improvement on the 2014 value. However, the different nature of some of the working practices and guidelines produced should be 
taken into account when comparing between the years 

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training material of the 
Union 
2. Number of times 
Programme eLearning 
modules were downloaded 
Baseline is zero 

3219 

4776 

3219 

Improve the 
level of 2014 

3092 

3202 

Indicator 8: Cooperation with third parties Indicator 

2. Grow 

2 Grow 

2. Grow 

Actual results 

23.685 

12.920 

19.234 

12.291 

Baseline 
2013 
Number of actions under 
the Programme aiming at 
authorities other than 
Member States' customs 
authorities  
Baseline is zero 

2014 

2015 

2016 

2017 

Milestones foreseen 

23 actions 

Improve the 
level of 2014 

Grow or stable 

Grow or 
stable 

2018 
Grow or 
stable 

22 

26 

43 

33 

Actual results 

2019 

Target 2020 

Increase or stability 
over the programme 
lifetime 

Expenditure related outputs 

Outputs 

Number of IT Contracts 
Number of events organised 
Number of training projects 
Number of expert teams projects 
Other 
Total 

Outputs 

Number of IT Contracts* 

Number of events organised 

Number of training contracts 

Number of expert teams organised 

2014 
30 
59 
380 
265 
2 
1 
0 
0 

F 
P 
F 
P 
F 
P 
F 
P 

Budget line 

14 02 01 
14 02 01 
14 02 01 
14 02 01 
14 02 01 

90 
500 
2 
2 

Draft Budget 2019 

Number 

EUR million 

65.5 
7.95 
1.836 
3 

  78.286 

2018 
90 

Number of outputs foreseen (F) and produced (P) 
2017 
75 
85 
500 
438 
2 
2 
1 

500 

2 

1 

2016 
60 
82 
500 
552 
2 
2 
3 
3 

2015 
30 
62 
380 
547 
2 
2 
0 
0 

2 

1 

2019 
90 

500 

2020 
90 

500 

2 

1 

* The method to breakdown the contractual expenditure over the various contracts funded by the programme has been refined and estimates have 
been updated. 
Justification of changes to the financial programming and/or to the performance information 
A  very  positive  trend  could  be  observed,  with  large  increases  in  both  the  number  of  officials  trained  by  using  common  training 
material  of  the  Union  and  the  number  of  times  Programme  eLearning  modules  were  downloaded  (indicator  7:  Learning  Index). 
This rise can be attributed to the new releases of training modules dedicated to  the Union Customs Code that took place in 2016. 
These modules are spread both through the customs administrations as well as through the Commission Europa website 

5. Programme contribution to the Sustainable Development Goals 
The Customs Union is a foundation of the European Union and an essential element in the functioning of the single market. The 
single market can only function properly when there is a common application of common rules at its external borders. To achieve 
that, the 28 national customs administrations of the EU act as though they were one. These common rules they apply go beyond the 
Customs Union as such - with its common tariff  - and extend to all aspects of trade policy, such as preferential trade, health and 
environmental  controls,  the  common  agricultural  and  fisheries  policies,  the  protection  of  our  economic  interests  by  non-tariff 
instruments  and  external  relations  policy  measures.  For  this  reason,  one  can  establish  a  link  between  the  Customs  2020 
programme's activities and several Sustainable Development Goals, such as Goal 8 (Promote inclusive and sustainable economic 
growth,  employment  and  decent  work  for  all)  and  Goal  15  (Sustainably  manage  forests,  combat  desertification,  halt  and  reverse 
land degradation, halt biodiversity loss). 

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HEADING 1A: Competitiveness for growth and jobs 

Action programme for taxation in the European Union (Fiscalis 2020) 
Lead DG: TAXUD 

I. Programme Overview 

What the programme is about? 

Fiscalis  2020  is  an  EU  cooperation  programme  enabling  national  tax  administrations  to  create  and  exchange  information  and 
expertise. It allows developing and operating major trans-European IT systems in partnership, as well as establishing various person 
to person networks by bringing together national officials from across Europe. 

It focuses on  improving the proper functioning of the taxation systems in the internal  market by enhancing cooperation between 
participating countries, their tax authorities and their officials. This includes the fight against tax fraud, tax evasion and aggressive 
tax  planning  and  the  implementation  of  Union  law  in  the  field  of  taxation  by  ensuring  exchange  of  information,  supporting 
administrative  cooperation and, where  necessary and appropriate enhancing the administrative capacity of participating countries 
with a view to assisting in reducing the administrative burden on tax authorities and the compliance costs for taxpayers.  

The vast majority of the programme funding (approx. 80%) is devoted to the implementation, improvement, operation and support 
to the European Information Systems for taxation. The remaining part is used for funding the organisation of joint actions, the 
cooperation and collaboration side (around 15%) and the training activities (around 5%). 

EU added value of the programme 

Without  intense  cooperation  and  coordination  between  Member  States,  unfair  tax  competition  and  tax  shopping  would  increase, 
while  fraudsters  would exploit the lack of cooperation between national authorities. The added value of the Fiscalis programme, 
including to the protection of the financial interests of Member States of the Union and of taxpayers, has been recognised by the tax 
administrations of the participating countries. The challenges identified for the next decade cannot be tackled if Member States do 
not  look  beyond  the  borders  of  their  administrative  territories  or  cooperate  intensively  with  their  counterparts.  The  Fiscalis 
programme,  implemented  by  the  Commission  in  cooperation  with  the  participating  countries,  offers  Member  States  a  Union 
framework to develop activities through cooperation amongst  national tax officials, on the one  hand, and IT cooperation, on the 
other hand. This set-up is  more cost-effective than if each Member State  were  to set up individual cooperation frameworks on a 
bilateral or multilateral basis.  

The Fiscalis 2020 programme supports the highly secured dedicated communication network allowing the exchange of information 
in  the  framework  of  fight  against  fraud,  both  for  direct  and  indirect  taxation.  The  programme  as  such  interconnects  national  tax 
administrations in approximately 5 000197 connection points. This common IT network ensures that every national administration 
only needs to connect once to this common infrastructure to be able to exchange any kind of information. If such an infrastructure 
were not available Member States would have to link 28 times to the national systems of each of the other Member States. 

II. Programme Update 

Implementation Status (2014-2017) 

The  data  collected  in  the  performance  measurement  of  the  programme  in  2014  (first  year  of  implementation)  ,    2015  and  2016 
shows that the Fiscalis 2020 programme progressed towards obtaining its objectives and towards achieving the expected results of 
the  projects planned in the  Annual  work programmes  for this period. The results  measured  within the programme's performance 
measurement framework for 2014, 2015 and 2016 indicate that the overall implementation of the programmes is on track, without 
delays. In 2014, a score of 3,13 was achieved on the extent to which programme activities achieved their expected results across the 
programme,  on  a  scale  from  0  to  4  (fully).  The  same  score  was  3,2  for  2015  and  2016,  testifying  to  gradual  increase  in  the 
achievement of results. The data on the achievement of results for 2017 is still in the process of collection at the time of writing. 

The core outcomes of Fiscalis 2020 programme are the  European IT systems  which allow the electronic exchange of tax-related 
information  between  Member  States.  Ensuring  the  business  and  IT  systems’  continuity  is  a  major  responsibility  under  the 
programme since disruptions in the operation of the European Tax IT systems would affect national administrations, citizens and 
businesses across the entire EU and hamper the functioning of the internal market. All the centralised IT systems, as well as the 
underlying infrastructure (CCN/CSI) – developed, managed and maintained by the Commission - were available in the 2014-2017 
period as scheduled, with more than 99% of the time meeting the expected targets.  

Collaboration between tax officials is a key sustainable success factor for implementing tax policy in Europe. This collaboration 
improves the understanding and the implementation of tax law in the area of fight against tax fraud, tax evasion and aggressive tax 
planning and administrative cooperation. It ensures the exchange of best practices and knowledge and creates the framework for 
joining efforts when IT solutions are developed. It also enhances the administrative capacity of participating countries. Indeed, the 
feed-back from participants in joint actions collected under the performance measurement framework shows that the collaboration 

197 Customs and taxation connection points taken together. 

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robustness  between  programme  stakeholders  is  progressing  in  the  desired  direction.  In  2014-2017,  more  than  95%  of  the 
responding  participants  declared  that  the  programme  provided  them  with  a  good  opportunity  to  expand  their  network  of  (and 
contacts with) officials abroad.  Additionally, in the same period, the number  of respondents  who declared that they have been in 
contact for work purposes with the officials they met during programme activities after the activities ended averaged at 84%. 

Key achievements  

1. Fight against fraud, tax evasion and aggressive tax planning and administrative cooperation. 
At EU level, the fight against tax fraud, tax evasion and aggressive tax planning is materialised by setting-up IT systems and other 
mechanisms  of  cooperation.  The  IT  systems  allow  tax  administrations  to  exchange  information  by  electronic  means.  The 
information  exchange  is  enabled  by  a  closed  and  secure  Common  Communication  Network/Common  Systems  Interface 
(CCN/CSI)  –  one  of  the  main  outcomes  of  the  programme.  In  the  2014-2017  period,  the  CCN/CSI  had  the  required  high 
availability and the number of exchanged messages on the network has been rising: 2,7 billion (2014), 3,2 billion (2015), 4,5 billion 
(2016) and 4,8 billion (2017). If we look at only messages exchanged on the taxation systems on the network, the numbers are also 
indicating a rise: 2.2 billion (2014), 2.8 billion (2015), 4 billion (2016) and 4.2 billion (2017).  The European Information Systems 
supported by Fiscalis 2020 interconnect tax authorities and thus facilitate the coexistence of 28 taxation systems in the Union. In 
the  observed  period,  they  allowed  information  to  be  exchanged  rapidly  and  in  a  common  format  that  can  be  recognized  by  all 
Member States. At the end of 2017, there were 27 European Information Systems  in operation, as per Annex 1 of the Fiscalis 2020 
Regulation.  

In  relation  with  the  administrative  cooperation  activities,  in  particular  in  the  area  of  direct  taxation,  in  2014  first  automatic 
exchanges  of  information  took  place  on  non-financial  items  (e.g  income  for  employment)  -  under  the  Council  Directive 
2011/16/EU on administrative cooperation in the field of taxation (DAC1). The second revision of the Directive (DAC2) provides 
for  the  automatic  exchange  of  tax  information  on  financial  items  as  of  2016.  The  programme  financed  in  2014  and  2015  the 
definition  of  the  tool.  Taking  into  account  the  international  context  around  this  initiative  (namely,  the  Foreign  Account  Tax 
Compliance Act - FATCA and OECD global standard), the developments registered under the programme in this area had a strong 
international resonance. The third revision of the directive (DAC3, transposition deadline 31/12/2016) provides for the automatic 
exchange  of  information  on  tax  rulings  and  advance  pricing  arrangement.  The  fourth  revision  (DAC4,  transposition  deadline 
4/6/2017) provides for country-by-country reporting, while the fifth revision (DAC5, transposition deadline 31/12/2017) for access 
to  mechanisms,  procedures,  documents  and  information  as  regards  beneficial  ownership.  The  implementation  of  DAC2  and  the 
technical developments were supported under the programmes in 2016 and 2017 by an expert team, a new tool from the programme 
tool-box  supporting  enhanced  operational  collaboration.  In  addition,  two  more  expert  teams  were  launched  to  foster  the  IT 
collaboration  in  the  tax  area.  In  the  area  of  excise,  there  is  a  gradual  increase  in  the  number  of  messages  exchanged  via  EMCS 
(2014: 6,8 million, 2015: 7,3 million, 2016: 7,48 million). There was also a positive evolution in 2016 as the total average response 
time  required  to  close  EMCS  movements  (from  the  movement  initiation  messages  to  their  corresponding  Report  of  Receipt) 
decreased from 8.93 days in 2015 to 8.47 days in 2016.   This ensures the real time monitoring of movements of duty suspended 
goods. The high volume of information channelled via CCN/CSI and the other tax related IT systems (e.g. VIES, EMCS) shows 
that the programme is a solid and robust enabler for the information exchange amongst customs and tax authorities. 

The tax officials exchange views and best practices to fight against tax fraud, tax evasion and aggressive tax planning in the joint 
actions  organised  under  the  programme.  Accelerated  exchange  of  information  between  VAT  anti-fraud  units  was  supported  via 
Eurofisc. Approximately 3,26 billion EUR of tax amount due was identified through multilateral controls under Fiscalis 2013. This 
amount is very significant compared with the programme investment (2,41 million actually spent on MLCs under Fiscalis 2013). 75 
multilateral controls actions (MLC) have been registered in 2014 (including the ones continued from 2013), 43 in 2015, 65 in 2016 
and  70  in  2017.  Activities  under  the  programme  were  also  organised  to  secure  an  effective  methodological,  financial  and 
organisational set-up for the presences in the administrative offices and participation in administrative enquiries. In 2015, 49 such 
activities  were  registered,  40  in  2016  and  38  in  2017.  In  the  coming  years,  the  Commission  will  take  measures  to  increase  the 
awareness of national officials of the tools for administrative cooperation with a view to increment these numbers. 

2. Enhanced the uniform and effective application of EU tax law:  
The Union Law and Policy Application and Implementation Index provides a comprehensive overview of the performance of the 
joint actions organised under this objective. The main indicator relates to the level of achievement of expected results, as they were 
identified  prior  to  the  activity  and  later  evaluated  by  their  action  managers.  The  obtained  value  of  3.75  (up  from  2.87  in  2015) 
indicates that the action managers are satisfied with the progress obtained within their groups in 2016. Such a positive assessment is 
also confirmed by the participants to joint actions, who have also expressed very high levels of satisfaction with the activities in 
terms  of  ‘meeting  their  expectations’,  although  the  value  has  decreased  compared  to  2015,  it  remained  above  target  level  as  the 
number of officials participating to these activities who found them to be professionally 'useful' or 'very useful' has remained very 
high (close to 98%).  

3. Enhanced administrative capacity: 
The  use  of  IT  systems,  such  as  the  CCN/CSI  platform,  EMCS,  VAT  Refund,  SEED-on-Europa,  VIES-on-the-web  and  e-forms 
builds towards the development of an e-administration. They limit the resource-extensive paper-based procedures. For example, tax 
administrations, during the 2013 final evaluation of Fiscalis 2013, considered that these systems made the detection of irregularities 
faster, more effective and efficient and deterred the incentives to fraud. In 2014, approximately 740 million consultations took place 
on VIES-on-the-web and almost 18  million on  SEED-on-Europa. For example, due to VIES-on-the-web, economic operators no 
longer have to use the intermediary national administration, to validate the VAT numbers of their trading partners, directly reducing 

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the  lead-time  and  the  administrative  burden  and  compliance  costs  for  the  traders  and  the  national  administrations.  In  2015,  872 
million validations took place with the tool, taking generally less than a second each. The final evaluation of Fiscalis 2013 assumed 
that  each  of  them  had  to  be  dealt  with  by  a  5  minutes  phone  call.  Extrapolating  this  estimate,  VIES-on-the-web  reduced 
administrative burden on the side of national administrations by an estimated EUR 888 million and compliance costs for economic 
operators  by  a  similar  amount.  In  2016,  the  number  of  VIES-on-the-web  validations    increased  by  72%  (almost  1  500  million 
validations). Furthermore, the Mini One Stop Shop system has been deployed in 2014 according to legal provisions. This system 
contributes to reducing the administrative burden on tax administrations and compliance costs for tax payers: for those tax payers 
active in the telecommunications, broadcasting and electronic services and established within the Union as it allows fulfilling  their 
VAT obligations in a single place of compliance instead of in each country of the economic activity. In 2015, the first operational 
year  of  the  system,  approx.  12 000  economic  operators  registered  to  the  Mini  One  Stop  Shop.  In  2016,  the  number  raised  up  to 
13 522 operators registered.  

Expert  teams  represent  a  new  tool  from  the  programme  tool-box  supporting  enhanced  operational  collaboration  ("géométrie 
variable"), either on a regional or on a thematic basis. This tool allows willing Member States to bring their cooperation to a next 
dimension of European integration at the policy implementation level. The expert teams approach allows tax experts of Member 
States  to  have  in  depth  cooperation  on  operational  issues  which  go  beyond  the  traditional  means  of  cooperation  to  realise  pre-
identified objectives of a common long term project. The 2 Expert Teams that were created for taxation in 2016 started to produce 
their outputs in 2017 (on IT collaboration and exchange of information). The objective of the Expert Team on IT Collaboration was 
to group MS's resources to strategically manage IT Collaboration initiatives in the field of taxation for  the implementation of IT 
systems,  e.g.  the  development  of  IT  software,  IT  solutions  (design,  specifications  etc.),  IT  components  (Architecture,  platforms 
etc.)  or  other  things  that  support  an  IT  solution  (e.g.  testing).    The  DAC  Expert  Team  supported  MSs  in  the  implementation  of 
Council Directive 2014/107/EU, which imposes through Art. 8(3a) on MS  an automatic exchange of financial information (such as 
account  numbers,  beneficiary’s  name,  account  balance  or  gross  amount  of  interests  paid)  by  collaboratively  designing  and 
developing some national software modules of DAC2. This allowed MSs to save costs on the phase of the development lifecycle 
and to ensure a cross-border orientation.  

In  relation  to  training  and  human  competency  building,    Fiscalis  2020  supported  in  2017  the  uniform  implementation  and 
application of  tax policies (VAT competency/tax compliance building) specifically through the production of 2 new EU eLearning 
modules for national public and private sector training, namely on the production of a series of national language versions of the 
EU  VAT  knowledge-building  eLearning  programme,  which  resulted  in  an  increase  of  TAXUD’s  EU  eLearning  portfolio  to  46 
customs & tax courses in 390 modules by end 2017 (16 eLearning courses on taxation, 30 eLearning courses on customs, totalling 
390  modules  taking  into  account  the  different  language  versions  available)..  In  addition,  a  European  Parliament  Pilot  Project on 
digital tax education for Young Europeans (TAXEDU) could be realised in 2017, with a ‘EU tax educational portal’ going public 
on  7/11/2017  in  22  EU  languages,  equipped  with  a  multitude  of  commonly  developed  digital  tax  educational  material  (264 
educational  videos,  8  eLearning  courses),  an  immersive  3-levelled  tax  educational  game  (TAXLANDIA)  and  further  extensive 
support material for educators. Portal use monitoring measures reported for the month of December 2017 about 22 300 TAXEDU 
portal visitors and more than 7 800 Facebook followers. 

Evaluations/studies conducted 

In the framework of the Commission  Action Plan of April 2016 "Towards a single EU VAT area", the studies under Fiscalis 2020 
mainly  focus  on  VAT  and  cross-border  issues  such  as  studies  on  VAT  aspects  of  cross-border  e-commerce,  the  provision  of 
effective  tax  rates  and  the  measurement  of  aggressive  tax  planning.  One  study  was  conducted  in  2015/2016  focused  on  VAT 
aspects  of  cross-border  e-commerce,  presenting  options  for  modernisation).  On  6th  May  2015,  the  European  Commission 
announced its Strategy for the EU Digital Single Market. In this context the Commission committed to make legislative proposals 
to modernise the VAT for cross-border e-commerce and reduce the administrative burden of businesses arising from different VAT 
regimes with the introduction of the destination principle accompanied with the implementation of a Mini One Stop Shop (i.e. the 
MOSS). This study considered the widening of the MOSS to other areas of final consumers of e-Commerce, the elimination of the 
VAT  exemption  for  the  importation  of  small  consignments,  and  the  elimination  of  current  registration  thresholds  for  intra-EU 
consumers supplies of goods in order to reduce the administrative burden and compliance costs of businesses. The study's outcomes 
were used in the e-commerce proposal of the Commission  (2016), that led to the intensive interinstitutional  negotiations on new 
rules for VAT on e-commerce during 2017 and which were adopted by the Council in December 2017.  

Two  important  evaluations  have  been  adopted  by  the  College:  Evaluation  of  VAT  administrative  co-operation  and  fight  against 
fraud (Nov-2017) and Evaluation of Directive 2011/16/EU on the administrative cooperation in the field of taxation (Dec-2017).  

In the area of excuse duties, TAXUD has conducted different studies. In 2016 we launched the evaluation of the Council Directive 
92/83/EEC on the harmonisation of the structures of excise duties on alcohol, which was driven by the EU's responsibility given by 
the Treaty (article 113) in the area of excise duties. In short, the basic principles on excise duties applicable to all products subject 
to  excise  duties  are  laid  down  in  Directive  2008/118/EC,  but  with  specific  arrangements  for  the  taxation  structure  of  alcoholic 
beverages (Directive  92/83/EEC). The directive defines inter alia, excise categories, the  scope for reduced rates and exemptions. 
This retrospective evaluation  of the  functioning under the current legal framework  enabled the Commission to assess the current 
and future policy for alcohol excise duties and the added value of common rules at EU level.  

Also in the area of excise duties, there is an ongoing evaluation of Directive 2011/64/EU of 21 June 2011 on the structure and rates 
of excise duty applied to manufactured tobacco. The purpose of this evaluation is to analyse the effect of the minimum rates and 

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structures of excise duty applied on manufactured tobacco. The evaluation assesses to which extend the current rates and structures 
helped and  supported in (1) ensuring  the proper functioning of the internal  market (including competition), (2) providing a  high 
level of health protection, (3) fighting against tax fraud, tax evasion and illegal cross border shopping. By also looking at heated 
tobacco  products  and  e-cigarettes,  the  evaluation  has  the  purpose  to  fill  the  information  gaps  in  order  to  determine  the  correct 
harmonized approach for taxation of those products. 

In  addition  to  the  above-mentioned  technical  studies  and  evaluations,  the  mid-term  evaluation  of  Fiscalis  2020  was  launched  in 
2017 and the final evaluation of the programme is planned for 2020 (both evaluations are conducted in accordance with Ar. 18.1 of 
Regulation 1294/2013).  

The  studies  and  evaluations  financed  under  the  programme  Fiscalis  2020  can  be  found  on  the  TAXUD  EUROPA  website: 
on 
https://ec.europa.eu/taxation_customs/calls-tenders-grants-calls-expression-interest_en 
https://bookshop.europa.eu/en/home/ (author: Directorate-General for Taxation and Customs Union). 

the  EU  Bookshop 

and 

on 

Forthcoming implementation (2018-2019)  

In  the  coming  years,  emphasis  will  be  put  on  further  improving  the  administrative  capacity  of  Member  States,  be  it  through  IT 
capacity building, traditional and innovative forms of cooperation or human competency building initiatives. The capacity of  tax 
administrations is indeed instrumental to ensure they run efficiently their tax systems  within the internal market.  In the medium-
term, the implementation of the following programme's main outcomes will be pursed to achieve the EU tax policy objectives: 

  Ensuring business continuity of existing European IT systems and development of new ones. New forms of IT collaboration, 
such as Expert Teams in the area of IT systems, will be put in place, increasing the number of shared IT activities and reusable 
components among Member States. This approach should reduce the costs for deploying EU wide tax IT systems, both at EU 
and  national  level  while  responding  more  agile  to  European  Union  tax  policy  needs.  In  particular  for  2019,  it  is  planned  to 
create an Expert Team on IT collaboration among Member States, in order to continue the work started in 2017 on grouping 
Member States' resources to strategically manage IT initiatives in the field of taxation.  There is also a project for setting-up an 
Expert Team for the development of a mobile application to provide mobile access to the data from national Excise Movement 
and Control Systems (EMCS) for control purposes.  .  

  Enhancing  the  traditional  collaboration  between  tax  officials  to  ensure  high  standards  of  administrative  capacity.  Under  the 
programme, activities are put in place to further strengthen the operational cooperation through the use of expert teams, which 
will be pooling expertise to perform tasks in specific domains, in particular for the European Information systems. In particular 
for 2019, it is planned that a  new Expert Team  will  work  on the area of TNA (Transaction Network  Analysis). This  Expert 
Team will enhance Eurofisc capability to exchange information and detect fraudsters. TNA is a tool for information exchange 
and common processing of data for  Eurofisc officials that will use VIES and Eurofisc data to build networks around known 
risky  traders.  Once  the  networks  are  built  they  will  be  prioritized  in  accordance  to  business  rules  agreed  upon  by  Member 
States. Another planned activity is the development of an excise duty calculator, which will calculate the excuse duty applied 
on a consignment of EU harmonised excisable products.  

  For training and human competency building, the development of a common multi-annual customs and tax training and staff 
development  Action  Plan  (2017–2020)  in  2017  will  provide  the  necessary  policy  back-up  and  national  engagement  for 
common EU training & staff development measures in the years to come (SWD status) and contributes further specifically to 
the  implementation  of  the  EU  Customs  Governance  Initiative  as  well  as  the  Administrative  Capacity  building  initiative  for 
taxation. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation (EU) No 1286/2013 of the European Parliament and of the Council of 11 December 2013 
establishing an action programme to improve the operation of taxation systems in the European Union for 
the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

223,4 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

0,1 
30,8 
30,9 

0,1 
31,0 
31,1 

2017 

0,1 
31,4 
31,5 

0,1 
31,8 
31,9 

0,1 
31,9 
32,0 

0,1 
32,6 
32,7 

0,1 
33,0 
33,1 

2018 

Total 
Programme 
0,7 
222,5 
223,2 

Voted appropriations 

CA 
31,909 

Impl. Rate 
100,00 % 

PA 
31,045 

Impl. Rate 
99,68 % 

CA 
31,988 

Impl. Rate 
19,49 % 

PA 
30,863 

Impl. Rate 
17,82 % 

Authorised appropriations (*) 

33,310 

96,84 % 

32,533 

96,57 % 

33,071 

18,85 % 

31,998 

18,30 % 

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(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - not applicable 

4. Performance information 

General objectives 

General Objective 1: to improve the proper functioning of the taxation systems in the internal market by enhancing cooperation 
between participating countries, their tax authorities and their officials 
Indicator 1: ease of paying taxes 

Baseline 
2010 

 10 MS within the top 50 
10 MS between the ranks 
51-100 
2 MS between the ranks 
101-120 
5 MS below the rank of 
120 

Milestones foreseen 

2014 
13 MS 
13 MS 
1 MS 
1 MS 

2015 
Improve the 
ranking of 
individual 
Member States 

2016 
No Member 
State below the 
rank of 120 

2017 
No Member 
State below 
the rank of 
120 

Actual results 

11 MS within 
top 50;  
12 between 51-
100;  
2 between the 
ranks 101-120; 
2  below 120 

14 MS within 
top 50;  
12 between 51-
100;  
2 below 120 

20 MS within 
top 50;  
7 between 51-
100;  
1 below 120 

17 MS within 
top 50; 10 
between 51-
100; 1 below 
120 

Specific objectives 

2018 

2019 

Target 2020 

All Member States 
within the top 100,  
those Member States 
which are already in 
the top 100 in 2010 
move to the top 50 

Specific  Objective  1: to  support  the  fight  against  tax  fraud,  tax  evasion  and  aggressive  tax  planning  and  the  implementation  of 
Union  law  in  the  field  of  taxation  by  ensuring  exchange  of  information,  by  supporting  administrative  cooperation  and,  where 
necessary and appropriate, by enhancing the administrative capacity of participating countries with a view to assisting in reducing 
the administrative burden on tax authorities and the compliance costs for taxpayers 
Indicator 1: the Common Communication Network for the European Information Systems 

Baseline 
2013 

99,94 % 

2014 
99,9 % 

2015 
99,9 % 

2016 
99,9 % 

2017 
99,9 % 

2018 
99,9 % 

2019 
99,9 % 

Milestones foreseen 

Actual results 

Target 2020 

99,9 % 

99,98% 
Indicator 2: the feedback from participating countries on the results of actions under the programme (collaboration robustness) 

99,984% 

99,89% 

99,95% 

Baseline 
2012 

Network opportunity 
(Baseline at the start of the 
programme is zero) 

Lasting networking effect 
(at least one contact after 
the end of the programme 
activity) 

Cooperation: 
Number of face to face 
meetings: 295 

Number of on-line groups: 
30 

Milestones foreseen 

2014* 

95 % 

2015 

80 % 

2016 

80% 

95,15% 

96,66% 

Actual results 
97% 

68 % 

90 % 

90% 

Actual results 

2017 

80% 

90% 

90% 

84% 
500 

68 % 
295 

72,61 % 
295 

247 
increase the 
annual levels 

632 
increase the 
annual levels 

109 (72 for 
taxation; 37 
joint groups 
between 
customs and 
taxation) 

126 (105 for 
taxation; 21 
joint groups 
between 
customs and 
taxation) 

69%198 
500 
Actual results 
586 
Increase the 
annual levels 

563 
Increase the 
annual levels 

Actual results 

174 (136 for 
taxation; 38 
joint groups 
between 
customs and 
taxation) 

152 (130 for 
taxation; 22 
joint groups 
between 
customs and 
taxation) 

2018 
Grow or 
stable  

Grow or 
stable  

500 

500 

Grow or 
stable  

2019 

Target 2020 

80 % 

90 % 

500 

increase the annual 
levels 

*Figures slightly changed and updated in comparison with AAR2014. 

198 We can observe stability in the levels of this indicator, which has been fluctuating between 68 and 72% in the last three years of measurement. A number of 
improvements have been introduced under the programme to facilitate online collaboration and sharing between the participants of programme activities 

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Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Number of IT Contracts* 
Number of events organised 
Number of training contracts 
Number of expert teams projects 
Other 
Total 
* The method to breakdown the contractual expenditure over the various contracts funded by the programme has been refined and estimates have 
been updated 

14 03 01 
14 03 01 
14 03 01 
14 03 01 
14 03 01 

22.86 
5.335 
1.375 
3 

45 
550 
2 
2 

  32.57 

Outputs 

Number of IT Contracts 

Number of events organised 

Number of training projects 

Number of expert teams projects 

2014 
20 
42 
295 
247 
2 
1 
0 
0 

F 
P 
F 
P 
F 
P 
F 
P 

2018 
45 

Number of outputs foreseen (F) and produced (P) 
2017 
45 
29 
500 
554 
2 
3 
1 
2 

2016 
40 
53 
500 
586 
2 
2 
2 
2 

2015 
20 
41 
295 
632 
2 
2 
0 
0 

500 

1 

2 

2 

1 

2019 
45 

500 

2020 
45 

500 

2 

1 

5. Programme contribution to the Sustainable Development Goals 

The  Commission's  general  objective  is  to  ensure  that  tax  policy  supports  wider  EU  policy  objectives  for  smart,  sustainable  and 
inclusive  growth  in  the  EU.    Fiscalis  2020  programme  through  its  activities  contributes  to  the  achievement  of  the  following 
Sustainable Development Goals:  Goal 8 (Promote inclusive and sustainable economic growth, employment and decent work for 
all), Goal 10: Reduce inequality within and among countries),  Goal 12 (Ensure sustainable consumption and production patterns 
(one of the targets includes restructuring of taxation). 

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HEADING 1A: Competitiveness for growth and jobs 

Programme to promote activities in the field of the protection of the financial interests 
of the European Union (Hercule III) 
Lead DG: OLAF 

I. Programme Overview 

What the programme is about? 

Hercule III is the latest EU anti-fraud programme, following Hercule II (2007-2013). It helps EU countries fight fraud, corruption 
and other illegal activities. It helps finance practical projects, such as the purchase by national authorities of x-ray scanners, sniffer 
dogs and other technical equipment, to stamp out smuggling and other criminal activities against the EU’s financial interests.  

The programme protects the EU's financial interests by supporting action to combat irregularities, fraud and corruption affecting the 
EU budget. This includes combating tobacco smuggling which remains a major concern, accounting for estimated annual losses of 
at  least  EUR 10bn  to  national  and  EU  budgets.  Helping  to  fund  x-ray  scanners  and  other  technical  equipment  in  harbours  and 
airports, for example, aims to boost national authorities' capacity to fight smuggling. Hercule III also finances  training activities. It 
helps  national  authorities  share  best  practices  through  seminars  and  conferences  on  issues  such  as  preventing  corruption  in 
procurement procedures. Another facet is training to boost and update the digital forensic skills of law enforcement staff. 
The Programme contributes to: 
 

developing  the  activities  at  Union  level  and  the  Member  States’  level  to  counter  fraud,  corruption  and  any  other  illegal 
activities affecting the financial interests of the Union, including the fight against cigarette smuggling and counterfeiting; 
an increased transnational cooperation and coordination at Union level, between Member States' authorities, the Commission 
and  the  European  Anti-Fraud  Office  (OLAF),  and  in  particular  to  the  effectiveness  and  efficiency  of  the  cross-border 
operations; 
an  effective  prevention  of  fraud,  corruption  and  any  other  illegal  activities  affecting  the  financial  interests  of  the  Union,  by 
offering joint specialised training for staff of national and regional administrations, and to other stakeholders. 

 

 

EU added value of the programme 

From an EU perspective, the Programme significantly contributes to the development of activities at Union level to counter fraud, 
corruption  and  any  other  illegal  activities,  to  the  creation  of  an  increased  transnational  cooperation  and  coordination  between 
Member States' authorities, the Commission and the European Anti-Fraud Office (OLAF) and to the establishment of an effective 
prevention  system  against  fraud,  corruption  and  any  other  illegal  activities  affecting  the  financial  interests  of  the  Union.  The 
programme  creates  in  particular  savings  deriving  from  the  collective  procurement  of  specialised  equipment  and  databases  to  be 
used by the stakeholders and those derived from the specialised training. 

II. Programme Update 

Implementation Status (2014-2017) 

The  Hercule  III  Programme  is  implemented  on  the  basis  of  annual  work  programmes  (Article  11  of  Regulation  250/2014).  The 
entry  into  force  of  the  Programme  in  March  2014  led  to  the  adoption  of  the  work  programmes199  for  the  years  2014-2017. The 
implementation of the annual work programmes did not generate major issues.  

The Commission received a substantial higher number of applications for grants under the calls for proposals in particular technical 
assistance (purchase of technical equipment) as the result of the increase of the maximum co-funding percentage from 50% under 
the previous Programme to 80% (and even 90% in exceptional and duly justified cases).  Between 2014 and 2017, the Commission 
awarded  more  than  160  grants  to  national  and  regional  authorities  as  well  as  research  institutes  and  NGO's  for  the  purchase  of 
technical  equipment  or  for  the  organisation  of  training  events,  conferences  and  seminars.  In  2015,  the  Commission  introduced 
minimum budget thresholds for actions to increase the potential impact of an action and to facilitate the Programme's management.  

Since  2017,  OLAF  is  using  the  existing  Commission's  "E-grant"  system  for  the  management  of  grant  applications  and  grant 
agreements funded under the Hercule III Programme.   

Key achievements  

The mandatory surveys that the beneficiaries of training grants and contracts have to administer to the participants in order to assess 
the  relevance  of  the  conference,  seminar  or  training  and  to  measure  their  satisfaction  levels  reveal  that  a  very  large  majority  of  
users (more than 90%) express a satisfactory or very satisfactory opinion on the event. The results of the surveys are transmitted in 
the  final  report  of  the  event  and  show  that  the  networking  opportunities  are  in  particular  highly  valued  and  that  the  participants 
perceive that the training event increased their skills. For the beneficiaries of technical assistance grants, it is difficult to report on 
the achievements right after the purchase of the equipment. They are requested to submit a final implementation report one year 
after the closing date of the grant. This report has to contain information on the results achieved by using the equipment and shall 

199 Financing Decision 2014 – FD2014, C(2014)3391 final of 26 May 2014;  FD2015, C(2015)2234 final of 8 April 2015; FD2016, C(2016)868 final of 17 February 
2016; FD2017, C(2017)1120 final of 22 February 2017. The 2018 Financing Decision is in the final step of the adoption procedure (foreseen for 13th March 2018). 

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also contain the beneficiary's assessment of the contributions made to the achievement of the Programme's objectives. The results 
reported suggest that the purchased technical  equipment,  such as scanners or sniffer dogs, helped the grant beneficiaries to  seize 
substantial  amounts  of  smuggled  cigarettes,  counterfeit  goods  and  tobacco.  In  addition,  grant  beneficiaries  reported  that 
investigation  support  equipment,  such  as  cameras,  IT-tools  and  forensic  soft-  and  hardware,  facilitated  the  lawful  gathering  of 
(digital) evidence during operations in support of investigations aimed at protecting the Union's revenues, expenditures and assets.   

The  implementation  of  the  E-grant  management  system  in  2017  brought  significant  qualitative  benefits  such  as  simplified  and 
faster processing of applications, improved support and training services, a convenient user-interface for both internal and external 
users, more seamless integration with the established IT-assisted business processes, access to improved reporting as well as better 
organisational reputation.  

Evaluations/ Studies conducted 
An independent mid-term evaluation was carried out during 2016/2017 in support of a report200 transmitted by the Commission to 
the European Parliament and to the Council.  The evaluation has demonstrated that the Hercule III programme, in its current form 
and at this stage of its implementation, has largely fulfilled its mission. It has proven relevant, mechanisms are in place to ensure its 
coherence, and it has been effective and efficient. There is a clear added-value to have such a programme at the level of the EU, and 
the activities of the programme have been found largely sustainable. 

One  of  the  evaluation's  findings  was  that  beneficiaries  face  difficulties  providing  the  data  to  measure  three  out  of  the  four  key 
performance indicators identified in Article 4 of the programme's Regulation. The collection of data to measure these indicators 
was  reported  as  being  the  most  burdensome  aspect  of  the  reporting  phase.  This  difficulty  should  be  addressed  by  the  successor 
programme in the next MFF period.  

During the external evaluation process, some ideas have been tabled of possible new objectives and activities for the programme 
going forward. These are, in particular, in the areas of cross-border cooperation between Member States, cooperation with non EU 
partners,  as  well  as  new  technological  developments  ideas.  Although  these  ideas  are  anecdotal  in  nature  (as  they  have  not  been 
tested with the stakeholders consulted during the external evaluation process), they might be explored during the remaining years of 
the programme. A few specific actions, such as the purchase of services to store and destroy seized cigarettes and other counterfeit 
goods, or the funding of scientific publications were found to be less relevant to fulfilling their missions in relation to the protection 
of the EU’s financial interests. This finding is largely  explained by the fact that these actions target a narrow group of possible 
participants and, consequently, the bulk of the participants do not see their relevance. 

Furthermore, some applicants suggested alleviating the burden generated by the application and reporting processes, for instance by 
reducing the amount of requested information or increasing the use of IT tools for the application process. Almost all respondents 
who considered the grant awarding and contracting phase cumbersome suggested what could be done for making the application 
phases less cumbersome. However, each suggestion was provided by a limited number of consulted stakeholders. The Commission 
is in the process of addressing a large part of the issues through the use of the electronic management system for the submission, 
processing  and  management  of  grant  applications  under  the  programme.  The  improvements  brought  about  by  the  electronic 
management  system involve  for instance digitalising the  whole application process and  introducing the use of digital signatures. 
The  electronic  system  is  expected  to  noticeably  alleviate  the  administrative  burden  and  related  time  and  resources  spent  on  the 
applications in particular.  

Forthcoming implementation (2018-2019)  

The annual work programme for 2018 provides for the organisation of three calls for proposals for technical support to national and 
regional  authorities  tasked  with  the  protection  of  the  Union's  financial  interests  as  well  as  the  support  for  the  organisation  of 
training  and  conferences  by  research  and  educational  institutes  and  NGO's.  In  addition, support  for  the  (access  to) databases  for 
Member  States'  law  customs  and  police  forces  as  well  as  the  further  enhancement  of  IT-tools  for  risk  assessment  analyses  are 
provided  for.  The  Commission  will  launch  call  for  tenders  in  2018  for  the  purchase  of  access  to  databases,  training  activities 
(including digital forensic training) and technical equipment. The Commission may launch in 2018 a public procurement procedure 
for a feasibility study to elaborate a methodology to quantify illicit tobacco trade. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation (EU) No 250/2014  of the European Parliament and of the Council of 26 February 2014 
establishing a programme to promote activities in the field of the protection of the financial interests of 
the European Union (Hercule III programme) and repealing Decision No 804/2004/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

104,9 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

13,7 
13,7 

14,1 
14,1 

14,5 
14,5 

15,0 
15,0 

15,3 
15,3 

15,9 
15,9 

16,4 
16,4 

Total 
Programme 
104,9 
104,9 

200 Commission Staff Working Document SWD(2018) 3 final of 10 January 2018 accompanying the Commission report to the European Parliament and the Council. 

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2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
14,950 

Impl. Rate 
100,00 % 

PA 
12,385 

Impl. Rate 
100,00 % 

CA 
15,348 

Impl. Rate 
0,01 % 

PA 
13,255 

Impl. Rate 
8,66 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating  from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

100,00 % 

83,03 % 

8,66 % 

0,01 % 

15,348 

17,251 

13,255 

14,950 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - not applicable 

4. Performance information 

General objectives 
General Objective 1: To protect the financial interest of the Union thus enhancing the competitiveness of the Union’s economy 
and ensuring the protection of the taxpayers' money 

Specific objectives 
Specific  Objective  1: To  prevent  and  combat  fraud,  corruption  and  any  other  illegal  activities  affecting  the  Union's  financial 
interest 
Indicator  1: The  added  value  and  effective  use  of  co-financed  technical  equipment,  expressed  by  the  users  of  the  equipment  in 
their  final  technical  report  and  final  implementation  report  of  the  action  (percentage  of  users  that  considered  the  use  of  Hercule 
funded equipment added value to their activities 

Baseline 

2014 

2015 

2016 

2017 
70% 

2018 
75% 

2019 
75% 

Milestones foreseen 

Target 2020 

* 

Actual results 
* 
* The information for this indicator is submitted by the beneficiaries in their final implementation report one year after the closing date of the 
action for which the grant was awarded. In the course of 2018, OLAF should receive a sufficient amount of data for this indicator to reflect in a 
reliable way the opinions of the beneficiaries. 
Indicator  2: The  number  and  type  of  trainings  activities  funded  under  the  Hercule  III  programme,  including  the  amount  of 
specialised training, and the satisfaction rate as expressed by the participants 
Milestones foreseen 

75% 

* 

* 

Baseline 

25 
(including 2 specialised 
trainings) 

2014 
25 
(2) 
65% 

2015 
25 
(1) 
67% 

2016 
25  
(2) 
69% 
Actual results 

2017 
25 
(2) 
0% 

2018 
25  
(2) 
72% 

2019 
25  
(2) 
74% 

Target 2020 

25 
(including 2 
specialised trainings) 

60%  Satisfaction  rate 

>90% 
This indicator has been elaborated for OLAF’s Annual Management Plan 2014 in the light of the operational objectives in the Hercule III 
Regulation. 
Expenditure related outputs 

>90% 

>90% 

>90% 

75% satisfaction rate 

Outputs 

Budget line 

1. Technical Assistance (incl. IT support, at least 70% of the budget) 
2. Training and Conferences (incl. studies, maximum 25 of the budget) 
3. Other actions (maximum 5% of the budget)201 
Total 
The Hercule III Regulation provides for three types of action: Technical Assistance (at least 70 % of the budget), Training (max: 25 % of the 
budget) and Other Actions (max: 5 % of the budget).  

24 02 01 
24 02 01 
24 02 01 

Number 
20 
30 
1 
51 

EUR million 
11.5 
4 
0.4 
15.9 

Draft Budget 2019 

Outputs 

1. Technical Assistance (incl. IT support) 

2. Training and Conferences (incl. studies) 

3. Other actions 

2014 
20 
21 
15 
29 

F 
P 
F 
P 
F 
P 

2018 
20 

Number of outputs foreseen (F) and produced (P) 
2017 
20 
22 
30 
33 
0 
0 

2016 
20 
23 
30202 
22203 
0 
0 

2015 
20 
18 
15 
30 
0 
1 

30 

2019 
20 

30 

2020 
20 

30 

201 Regulation 250/2014 on the Hercule III Programme identifies the three types of actions listed above. The third type of actions ("other") contains activities that 
are not foreseen under the previous ones, but that might nevertheless be considered necessary to achieve the Programme's objectives. In 2015, this category was used 
to cover the costs of a survey amongst EU citizens on their attitudes towards illicit cigarettes. 
202 The number of foreseen outputs has been increased from 15 to 30 and now includes all contracts and grants concluded for conferences, training and studies. 
203 In 2016, the number of procured Conferences organised by OLAF for the benefit of MS had to be postponed to 2017 or could not take place. In addition, fewer 
applications were awarded a grant for the organisation of conferences. The remaining budget was transferred and used for technical assistance actions.  

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HEADING 1A: Competitiveness for growth and jobs 

Exchange, assistance and training programme for the protection of the euro against 
counterfeiting (Pericles 2020) 
Lead DG: ECFIN 

I. Programme Overview 

What the programme is about? 

The Pericles 2020 programme funds staff exchanges, seminars,  trainings and studies for law enforcement and judicial authorities, 
banks and others involved in combating euro-counterfeiting. Actions can take place in the euro area, in EU countries outside the 
euro  area  and  in  third  countries.  Since  2015  applications  by  all  28  Member  States'  competent  authorities  can  be  introduced  to 
receive co-financing. The Directorate-General for Economic and Financial Affairs can also initiate actions to complement Member 
States'  initiatives.  The  Pericles  2020  programme  dedicates  a  bit  more  than  EUR  7.3  million  for  the  implementation  of  the 
programme, for the period 2014-2020. 

EU added value of the programme 

The Programme shall actively encourage and entail an increase in transnational cooperation for the protection of the euro inside and 
outside  the  Union  and  with  the  Union's  trading  partners,  and  with  attention  also  being  paid  to  those  Member  States  or  third 
countries that have the highest rates of euro counterfeiting, as shown by the relevant reports issued by the competent authorities; 
this  cooperation  shall  contribute  to  the  greater  effectiveness  of  these  operations  through  the  sharing  of  best  practice,  common 
standards and joint specialised training. 

II. Programme Update 

Implementation Status (2014-2017) 

The annual budget for the implementation of the 'Pericles 2020' programme for the year 2014, Financing Decision C(2014) 3427 
final  of  28  May  2014,  was  set  at  EUR  924  200  and  a  total  of  EUR  873  313.93  was  committed  in  2014.  As  such,  94.5%  of  the 
budget was committed. In 2014, the programme funded 10 projects; of these, 6 originated from competent authorities and 4 were 
Commission initiatives. Among the funded applications 3 were for conferences, 3 for trainings, 2 staff exchanges and 2 studies. An 
estimated number of 662 experts participated in Pericles actions for which commitments were made in 2014. The implementation 
of the programme in 2014 resulted in the full realisation of its objectives. 

The  annual  budget  for  the  implementation  of  the  'Pericles  2020'  Programme  2015  -  Call  for  Proposals  reference  2015  ECFIN 
007/R6  was set at EUR 1.024.800. Under the call  for proposals 2015, two deadlines  for applications  were set. 94.4%, a total of 
EUR 967 739.33 of the overall budget was committed in 2015. In 2015, the programme funded 12 projects; 9 originated from the 
competent authorities of euro area Member States, while 3 were initiatives of the Commission. Of the applications approved, eight 
are for seminar/conferences and four are staff exchanges. 2 actions were implemented in 2015, while 7 actions will be implemented 
in 2016.  A total of 480 participants are foreseen to participate. 

The  annual  budget  for  the  implementation  of  the  'Pericles  2020'  Programme  2016  -  Call  for  Proposals  reference  2016  ECFIN 
001/R6  was set at EUR 1.038.500. Under the call  for proposals 2016, two deadlines  for applications  were set. 99.2%, a total of 
EUR 1 029 353.87 of the overall budget was committed in 2016. In 2016, the programme funded 13 projects; 9 originated from the 
competent authorities of euro area Member States, while 4 were initiatives of the Commission. Of the applications approved, eight 
are seminar/conferences/workshops, 3 staff exchanges, 1 study and 1 purchase of equipment. 4 actions were implemented in 2016, 
while 9 actions will be implemented in 2016.  An estimated total of 550 participants are foreseen to participate. 

The  annual  budget  for  the  implementation  of  the  'Pericles  2020'  Programme  2017  -  Call  for  Proposals  reference  2017  ECFIN 
004/C5  was set at EUR 1.047.500. Under the call  for proposals 2017, two deadlines  for applications  were set. 99.9%, a total of 
EUR 1 047 477.62 of the overall budget was committed in 2017. In 2017, the programme funded 13 projects; 10 originated from 
the competent authorities of euro area Member States, while 3 were initiatives of the Commission. Of the applications approved, 8 
are seminar/conferences/workshops, 4 staff exchanges, and 1 purchase of equipment. 5 actions were implemented in 2017, while  8 
actions will be implemented in 2018.  An estimated total of 550 participants are foreseen to participate. 

Key achievements 

The latest data  for the defined programme indicators (further details are provided in the 'Performance information' section)  is as 
follows: 694 000 counterfeit euro banknotes and 191 982 counterfeit euro coins detected (2017), 29 illegal workshops (mints and 
printshops) dismantled (2016), and 8 724 individuals arrested (2016). However, these indicators, while linked to the protection of 
the euro are not directly linked to the programme implementation.  

An estimated number of 528 experts participate in Pericles actions for which commitments were made in 2016.  In terms of origin, 
participants come from 60 countries. The majority of trainees (63%) are European participants: 39% come from the Member States, 
while  non-EU  countries  in  Europe  represents  14%  and  Non-Euro  Area  Member  States  10%;  26%  of  trainees  are  from  Latin 

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America,  a  significant  increase  compared  to  the  previous  year  and  now  representing  the  second  largest  group  of  participants. 
Finally, 2% come from the Middle East and North Africa and 2% from Asia. 

With respect to the professional background of participants, members from police forces represent 37% of the total. That prominent 
presence is due to the  fact that police  authorities represent the  front line in the  fight against euro counterfeiting, and police staff 
includes both investigators and technicians. Nevertheless, other categories of participants account for 63% of the total, a significant 
increase from 47% in the previous year. Particularly, the relative participation of central banks has increased significantly (23%). 
Furthermore, there is a continuing high participation of members of the judiciary (11%), and a growing participation of mints (8%). 
Finally,  the  implementation  of  the  Commission  action  ''euro  coin  authentication  conference''  results  in  a  high  participation  of 
representatives  from  the  coin  processing  machine  (CPM)  industry  (8%),  which  affirms  the  private  sector  as  a  significant 
stakeholder in the fight against counterfeiting.  

Evaluations / Studies conducted 

The Report to the EP and the Council concerning the implementation and the results of the Pericles programme for the protection of 
the euro against counterfeiting in 2016 (COM (2017) 345 final) included the following assessment:  

The Programme  shows a  high degree of consistency and  complementarity  with other relevant programmes and actions at Union 
level because it is dedicated exclusively to and focuses on preventing and fighting a specific form of organised crime, namely euro 
counterfeiting.  This  is  true  for  OLAF's  Hercule  III  programme  which  protects  the  financial  interests  of  the  Union,  and  the 
Programme shows a high degree of complementarity with, inter alia, DG HOME's Internal Security Fund  - Police , which covers 
the prevention and combating of crime in general. 

The  ''Pericles  2020''  programme  continues  to  be  an  important  and  effective  tool  in  the  fight  against  counterfeiting.  This  is 
underscored  by  the  fact  that  the  available  budget  for  2016  was  fully  committed.  Furthermore,  the  following  cases  illustrate  the 
contribution of the Programme to the protection of  the euro against euro counterfeiting  in 2016: in May 2016, a new regulation 
covering  all  aspects  of  euro-cash  operations  was  adopted  in  Kosovo  (UNSCR  1244),  after  its  representatives  had  participated  in 
several Pericles 2020 actions . In addition, Pericles 2020-trained law enforcement personnel participated in the dismantling of three 
illegal printshops in Colombia and in the arrest of 49 persons suspected of counterfeiting the euro in Peru in 2016. 

The Programme forms the basis for the support of studies, maintaining and developing cooperation, and exchanging best practices 
among all actors involved in the fight against euro counterfeiting. Based on the results of the implementation of the Programme and 
the continuous analysis of emerging threats discussed in the ECEG, the priorities for 2017 are the following: 
  Supporting  activities  aimed  at  improving  cooperation  among  those  Member  States  which  are  particularly  affected  by  the 

production or distribution of counterfeits. 

  Fostering  cooperation  with  authorities  of  those  third  countries  where  there  is  suspicion  of  or  evidence  for  counterfeit  euro 

production. 

  Maintaining an efficient framework for the protection of the euro in South Eastern Europe. 
  New  developments:  technical  developments  within  the  coin  processing  machines,  the  distribution  of  counterfeits  and  high 
quality components on the internet and the increasing interest in euro counterfeiting of criminals located in Third Countries.  
In line with art. 13(4) of Regulation (EU) No 331/2014, a Mid-term Evaluation of the Pericles 2020 programme was undertaken, 
and the final report prepared by the contractor was endorsed on 30/06/2017. The evaluation204 concludes that all findings converge 
towards an unambiguously positive overall assessment. In its Communication COM(2017) 741 to the European Parliament and to 
the  Council,  the  Commission  concurred  with  the  assessment  of  the  Evaluation  on  the  continuation  of  the  Programme  as  a 
standalone programme beyond 2020. 

Forthcoming implementation (2018-2019) 

2018 will  feature the  implementation of 8 projects originating  from  the competent authorities of euro area Member States and  2 
Commission actions,  financed under the 2017 budget  and, in one  case, the 2016 budget. The  programme  highlights the Member 
State endeavours to reach and educate officials not only in the EU but also in Latin America, China, North Africa, the Balkan Area, 
Turkey  and  Eastern  Europe.  The  2017  Pericles  commitments  reflect  an  high  diversification  of  the  type  of  actions,  distributed 
between    seminars,  staff  exchanges,  technical  trainings,  and    purchase  of  equipment.  Establishing  and  maintaining  contact  to 
discuss issues of euro protection  with law enforcement,  bank representatives and judiciary officials  will contribute to the overall 
stability of the currency, to further closures of workshops, illegal print shops and mints and to additional arrests of criminals as well 
as to important seizures of counterfeit euros before entering into circulation. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation (EU) No 331/2014 of the European Parliament and of the Council of 11 March 2014 establishing 
an exchange, assistance and training programme for the protection of the euro against counterfeiting (the 
‘Pericles 2020’ programme) and repealing Council Decisions 2001/923/EC, 2001/924/EC, 2006/75/EC, 
2006/76/EC, 2006/849/EC and 2006/850/EC 

204 Ares (2017) 3289297. The accompanying Commission communication is in preparation. 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

7,3 

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2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

0,9 
0,9 

1,0 
1,0 

1,0 
1,0 

1,0 
1,0 

1,1 
1,1 

1,1 
1,1 

Total 
Programme 
7,3 
7,3 

1,2 
1,2 

2. Implementation rates 

Voted appropriations 

Authorised appropriations (*) 

2017 

2018 

CA 

1,048 

1,048 

Impl. Rate 

100,00 % 

100,00 % 

PA 

0,873 

0,873 

Impl. Rate 

79,31 % 

79,31 % 

CA 

1,055 

1,055 

Impl. Rate 

0,00 % 

0,00 % 

PA 

0,953 

0,953 

Impl. Rate 

13,79 % 

13,79 % 

(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Its objective is to prevent and combat counterfeiting and related fraud thus enhancing the competitiveness of the Union’s economy 
and securing the sustainability of public finances. 

4. Performance information 

General objectives 

General Objective 1: To prevent and combat counterfeiting and related fraud thus enhancing the competitiveness of the Union’s 
economy and securing the sustainability of public finances 

Specific objectives 

Specific  Objective  1: To  protect  the  euro  banknotes  and  coins  against  counterfeiting  and  related  fraud,  by  supporting  and 
supplementing the measures undertaken by the Member States and assisting the competent national and Union authorities in their 
efforts to develop between themselves and with the European Commission a close and regular cooperation and an exchange of best 
practices, also where appropriate, including third countries and international organisations 
Indicator 1: Number of counterfeits detected 

Baseline 
2011 

606.000 notes 
157.000 coins 

Baseline 
2011 

45 

Milestones foreseen 

2014 

2015 

2016 

2017 
+/- 5% 
compared to 
2011 

Actual results 

684.000 
banknotes 

694.000 
banknotes 

150.258 
coins 

191.982  
coins 

Milestones foreseen 

Actual results 
29 

Data n.a. 

Milestones foreseen 

838.000 
banknotes 
192.195 coins 

899.000 
banknotes 

146.889 coins 

Indicator 2: Number of illegal workshops dismantled 

2014 

2015 

2016 

2017 
3% increase 
compared to 
2011 

Indicator 3: Number of individuals arrested 

37 

32 

Baseline 
2011 

6 858 arrests/charged 

2014 

2015 

2016 

2017 
3% increase 
compared to 
2011 

7946 
arrests/charges 

8879 
arrests/charges 

Actual results 

8724 

Data n.a. 

Indicator 4: Number of penalties imposed 

2018 

2019 

Target 2020 

Keep counterfeits 
under control in an 
average +/- 5% 
compared to 2011 

2018 

2019 

Target 2020 

5% Increase 
compared to 2011 

2018 

2019 

Target 2020 

5% increase 
compared to 2011 

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Baseline 

Data unavailable due to 
lack of reporting 
mechanisms in MS 

Milestones foreseen 

2014 

2015 

2016 

2017 
3% increase 
compared to 
2011 

* 

* 

Actual results 
* 

* 

* Data unavailable due to lack of reporting mechanisms in MS 

2018 

2019 

Target 2020 

5% increase 
compared to 2011 

Expenditure related outputs 

Outputs 

1. Pericles grant programme: Seminars 
2. Pericles grant programme: Staff Exchanges 
3. Pericles grant programme: Studies 
4. Pericles grant programme: Purchase of equipment 
5. Procurement: Seminars 
6. Procurement: Staff Exchanges 
7. Procurement: Studies 
Total 

Outputs 

1. Pericles grant programme: Seminars 

2. Pericles grant programme: Staff Exchanges 

3. Pericles grant programme: Studies 

4. Pericles grant programme: Purchase of equipment 

5. Procurement: Seminars 

6. Procurement: Staff Exchanges 

7. Procurement: Studies 

2014 
3 
2 
3 
2 
1 
2 
0 
0 
4 
4 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

Budget line 

01 02 04 
01 02 04 
01 02 04 
01 02 04 
01 02 04 
01 02 04 
01 02 04 

Draft Budget 2019 

Number 
5 
4 

1 
2 

EUR million 
0.6 
0.2 

0.05 
0.2 

Number of outputs foreseen (F) and produced (P) 
2019 
4 

2018 
5 

2016 
5 
4 
2 
3 
1 
1 
1 
1 
3 
4 

2017 
5 
5 
3 
4 

1 
1 
3 
3 

2015 
4 
6 
5 
3 

1 

4 
2 

1 

4 

1 

2 

4 

1 

1 

2 

2020 
5 

4 

1 

1 

1 

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HEADING 1A: Competitiveness for growth and jobs 

Anti-Fraud Information System (AFIS) 
Lead DG: OLAF 

I. Programme Overview 

What the programme is about? 

The Anti-Fraud Information System (AFIS) is an umbrella term for a set of anti-fraud applications operated by OLAF (European 
Anti-Fraud Office) under a common technical infrastructure aiming at the timely and secure exchange of fraud-related information 
between  the  competent  national  and  EU'  administrations,  as  well  as  storage  and  analysis  of  relevant  data.  The  AFIS  Project 
encompasses two major areas, Mutual Assistance in Customs Matters and Irregularities Management.  

AFIS supports Mutual  Assistance in Customs Matters  with collaboration tools such as  V-OCU (Virtual Operations Coordination 
Unit) used for Joint Customs Operations; secure web mail (MAB-Mail), specific information exchange modules and databases like 
MAB  (Mutual  Assistance  Broker),  CIS  (Customs  Information  System)  and  FIDE  (Customs  Investigation  Files  Identification 
Database), analysis tools like A-TIS (Anti-Fraud Transit Information  System) and electronic  workflow applications like ToSMA 
(Tobacco Seizures Management Application). 

AFIS  also  provides  the  IMS  (Irregularities  Management  System),  a  secure  electronic  tool  which  facilitates  the  Member  States' 
obligation  to  report  irregularities  detected  in  agricultural,  structural,  cohesion  and  fisheries  funds,  the  Asylum,  Migration  and 
Integration Fund (AMIF), the instrument for financial support for police cooperation, preventing and combating crime, and crisis 
management (ISF) and the Fund for European Aid to the Most Deprived (FEAD) as well as pre-accession aid, and which supports 
the management and analysis of irregularities. 

The  AFIS  Portal  is  a  single  and  common  infrastructure  for  the  delivery  of  the  above-mentioned  services  to  more  than  8  700 
registered  end-users  in  more  than  1  800  competent  services  from  Member  States,  partner  third  countries,  international 
organizations,  Commission  services  and  other  EU  bodies.  AFIS  is  increasingly  being  used  by  partner  third  countries,  including 
China. 

EU added value of the programme 

The need for EU involvement in the context of mutual administrative assistance and customs co-operation was already recognised 
by the European legislator with the adoption of Regulation 515/97. By the very nature of customs fraud, occurring by definition 
among at least two countries there is a continuing necessity for centralised action at the EU level. Effective sharing of information 
and wide-scale fight against breach of customs legislation cannot be conducted only by national customs authorities at a reasonable 
cost. Systemic collection of the data required to analyse customs risks which pose a threat to the EU and its Member States would 
constitute a disproportionate effort for 28 individual Member States and can be achieved more effectively and efficiently by  action 
at the EU level.  
Therefore, action at EU level205 enables a significant improvement in risk management and the fight against customs-related fraud, 
by  increasing  the  available  evidence,  improving  the  possibilities  for  risk  mitigation  and  detection  and  repression  of  fraud  and 
rendering  the  action  more  efficient  and  effective.  Additionally,  the  AFIS  Portal  enables  substantial  economies  of  scale  and 
synergies in the development, maintenance and operations of such a wide and diverse set of IT services and tools. 

II. Programme Update 

Implementation Status (2014-2017) 

The work programmes for the implementation of Anti-Fraud Information System (AFIS) for 2014-2017 have been mostly executed 
as  foreseen  but  some  delays  have  been  encountered.  The  development  of  an  interface  between  DG  TAXUD's  COPIS  (anti-
Counterfeit and Piracy System) and AFIS, which was foreseen for 2014, has been delayed due to the late go-live of COPIS and the 
need for a following stabilisation phase for this system. 

The late adoption of the amendments to Council Regulation (EC) No 515/97, which was expected for the beginning of 2015, led to 
a  delay  in  the  implementation  of  the  changes  arising  from  these  modifications,  notably  the  changes  to  the  Customs  Information 
System (CIS, an AFIS application), the extension of the A-TIS (Anti-Fraud Transit Information System, an AFIS application) and 
the development of an import, export and transit directory as well as a Container Status Message (CSM) directory. 

These delays encountered in the implementation of the work programmes affect specific objective 1 of the programme, to support 
Mutual Assistance in Customs Matters through the provision of secure information exchange tools for Joint Customs Operations 
(JCOs) and specific Customs anti-fraud information exchange modules and databases such as the CIS, namely the efficiency of the 
CIS and the availability of new databases. 

205 The need for enhancement of the functioning of customs risk management, particularly in relation to safety and security risks, is recognised in Commission 
Communication on Customs Risk Management and Supply Chain Security (COM(2012)793). 

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The new version of the Irregularities Management System (IMS), IMS5, which replaced IMS4, went live in April 2016. 

The extension of A-TIS and a first version of the import, export and transit (IET) directory as well as the Container Status Message 
(CSM) directory went live on 1 September 2016, the application date of the amended Council Regulation. 

Key achievements  

The performance indicators of the programme for 2015 have been achieved or even  overachieved and have been mostly achieved 
for 2016: 

For indicator 1, the number of active customs fraud cases for which information is available in the Mutual Assistance databases, the 
milestone of 12 000 cases for 2015 has been achieved, while the new milestone for 2017 has been mostly achieved with 16 324 out 
of 17 000 cases. 

As seven JCOs have been supported in 2015 and eleven in 2016 as well as in 2017, the milestone for performance indicator 2 has 
been overachieved. 

Regulation  (EU)  2015/1525  amending  Council  Regulation  (EC)  No  515/97  entered  into  force  on  8  October  2015,  and  the  new 
repository of import declarations has been developed in 2017. Hence, the milestone of performance indicator 3 has been met. 

However  the  aforementioned  delays  encountered  in  the  implementation  of  the  work  programmes  for  2014  and  2015  affect  the 
future  milestones  of  performance  indicator  1,  the  milestone  for  2016  of  performance  indicator  3  and  the  target  for  performance 
indicator 1: 

The  delays  in  the  development  of  an  interface  to  COPIS,  caused  by  to  the  late  go-live  of  COPIS  and  the  need  for  a  following 
stabilisation  phase,  and  in  the  implementation  of  the  changes  to  the  CIS,  caused  by  the  late  adoption  of  the  amendments  to  the 
Regulation, will lead to a delay in achieving the milestones and targets for performance indicator 1, the number of active customs 
fraud cases for which information is available in the Mutual Assistance database. The milestone planned for 2017 of 20 000 cases 
will be only achieved with more than one year delay in 2019 and the milestone for 2017 had to be reduced to 17 000 cases (which 
was mostly achieved in 2017). The target for 2020 had to be reduced to 24 000 cases. 

The  delay  in  the  extension  of  A-TIS,  caused  by  the  late  adoption  of  the  amendments  to  the  Regulation,  will  led  to  a  delay  in 
achieving the milestone planned for 2016 for performance indicator 3, the coverage of A-TIS. The milestone of 100% of the transit 
declarations covered by A-TIS will be only achieved with one year delay in 2017. However, since the application of the new legal 
base  for  transit  declarations  on  1  September  2016,  A-TIS covered  78.32% of  the  transit  declarations  which  represents  nearly  all 
transit declarations for which this legal base applies. Not covered are transit declarations for common transit countries which did 
not  consent  to  their  usage  (11.28%),  declarations  for  transit  within  a  Member  State  which  did  not  consent  (4.02%),  technically 
malformed  declarations  which  could  not  be  processed  (3.84%)  and  declarations  for  common  transit  countries  which  gave  their 
consent only after 1 September 2016 (2.54%). 

Relevant findings of evaluation and/or programme related studies' (if any) 

Not applicable 

Forthcoming implementation (2017-2018)  

OLAF and TAXUD  have developed an interface  between DG TAXUD's COPIS (anti-Counterfeit and Piracy System) and AFIS. 
The conformance testing phase finished at the end of 2017, and the go-live is expected for the beginning of 2018. 

The Implementing Acts for the CIS and the CSM directory have been adopted in March 2016. The implementation of the changes 
to the CIS, arising from the modifications to Council Regulation (EC) No 515/97, has been started and will be finalised in 2018.  

The development of a second release of the CSM directory, providing additional features, is expected to go live at the beginning of 
2018. The development of a second release of IET, covering additional data, is expected to go live at the beginning of 2018. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Council Regulation (EC) No 515/97 amended by Council Regulation (EC) No 766/2008, Regulation on 
mutual assistance between the administrative authorities of the Member States and cooperation between the 
latter and the Commission to ensure the correct application of the law on customs and agricultural matters  
Council Decision 2009/917/JHA, Decision on the use of information technology for customs purposes 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

51,3 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

6,4 
6,4 

6,9 
6,9 

6,6 
6,6 

7,2 
7,2 

7,7 
7,7 

7,2 
7,2 

Total 
Programme 
49,4 
49,4 

7,5 
7,5 

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2. Implementation rates 

Voted appropriations 

Authorised appropriations (*) 

2017 

2018 

CA 

7,151 

7,151 

Impl. Rate 

99,74 % 

99,74 % 

PA 

6,802 

6,802 

Impl. Rate 

93,53 % 

93,53 % 

CA 

7,664 

7,664 

Impl. Rate 

21,67 % 

21,67 % 

PA 

7,346 

7,346 

Impl. Rate 

19,59 % 

19,59 % 

(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies – not applicable 

4. Performance information 

General objectives 

General Objective 1: To protect the financial interest of the Union thus enhancing the competitiveness of the European economy 
and ensuring the protection of the taxpayers' money 

Specific objectives 

Specific  Objective  1: To  support  Mutual  Assistance  in  Customs  Matters  through  the  provision  of  secure  information  exchange 
tools  for  Joint  Operations  and  specific  Customs  anti-fraud  information  exchange  modules  and  databases  such  as  the  Customs 
Information System 
Indicator 1: Number of active customs fraud cases for which information is available in the Mutual Assistance databases 

Baseline 
2013 

8 000 

2014 

2015 
12 000 

2016 

2017 
17 000206 

2018 

2019 
21 500207 

Milestones foreseen 

10 000 

12 000 

13 800 

16 324 

Actual results 

Target 2020 

24 000208 

Indicator 2: Number of Joint Customs Operations (JCOs) (including EU wide and regional operations) supported/year 

Baseline 
2013 

3 JCOs 

Milestones foreseen 

2014 
4 JCOs 

2015 

2016 

2017 
5 JCOs 

2018 

2019 

6 JCO's 

7 JCO's 

11 JCOs209 

11 JCO's210 

Actual results 

Indicator 3: Coverage of A-TIS (Anti-fraud transit information system) 

Baseline 

2014 

2015 

* 

Entry into 
force of the 
reform of 
Regulation 
515/97 

Milestones foreseen 

2016 
A-TIS to cover 
100% of transit 
declarations. 
New repository 
of export 
declarations 
developed 

2017 

New 
repository of 
import 
declarations 
developed 

2018 
New 
repository of 
Container 
Status 
Messages 
(CSMs) 
developed 

2019 

Statistical 
analysis tools 
for 
operational 
coveting all 
repositories 

Target 2020 

5 JCOs 

Target 2020 

A-TIS to cover 100% 
of  transit declarations 

At the end of 2013, A-TIS 
holds 16.5 million transit 
declarations (600 
000/month) covering 70% 
of the transit regime. 

Actual results 

Regulation 
2015/1525 
amending 
Council 
Regulation 
515/97 entered 
into force on 
8 October 2015 

Repository of 
export 
declarations 
available since 
1 September 
2016 
A-TIS covers 
78.32% of the 

Repository of 
import 
declarations 
developed 
and 
scheduled to 
go live in 
Q1/2018 

206 Milestone reduced from 20 000 to 17 000 (for details please refer to the programme performance update section) 
207 New Milestone added in 2017 
208 Target reduced in 2016 to 24 000 (cfr.  the programme performance update section) 
209 In 2016, 4 JCOs were co-organised by OLAF and a Member State and in total 12 JCOs were supported by OLAF. The Virtual Operations Coordination Unit 
(VOCU) module of AFIS was used in 11 of these JCOs. One JCO was organised by the World Customs Organisation with intelligence support of OLAF, but 
without VOCU usage. 
210 In 2017, 3 JCOs were co-organised by OLAF and a Member State and in total 11 JCOs were supported by OLAF. The Virtual Operations Coordination Unit 
(VOCU) module of AFIS was used in all of these JCOs 

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*At the end of 2014, A-TIS holds 23.1 million transit declarations. 

transit 
declarations211 

Specific Objective 2: To facilitate secure electronic communication tools for the Member States to fulfil their obligation to report 
irregularities detected in agricultural, structural, cohesion and fisheries funds as well as pre-accession aid. 
Indicator 1: Availability of new irregularities reporting modules for the new programming period 2014-2020 

Milestones foreseen 

2016 

2017 

2018 

2019 

Target 2020 

Baseline 
2013 

Development of new 
single harmonised module 
on-going. 

2014 

** 

2015 
Operational launch 
of new IMS 
version ready for 
reporting 
regulations for the 
MFF 2014-2020. 

Online 
reporting and 
analysis system 
extended 

Actual results 

Online 
analysis 
system to be 
extended212 

IMS 5 is scheduled 
to go in production 
on 1 April 2016213 

IMS5 went in 
production on 
1 April 2016214 

Extension of 
online analysis 
tool, which will 
be made 
available in 
2018, started 

IMS system fully 
operational in all 
Member States and 
candidate countries 
with reporting and 
analysis tools. 

** The new single harmonised module was put in production on 1 October 2014, introducing a single format for all existing modules (7) to be 
used by all countries (Member States and (potential) candidate countries), covering all programming periods and all regulations. IMS4 is an 
intermediate system and will be replaced by IMS5 which will be based on new software. IMS4 is still based on software that dates back to 2005 
Indicator 2: Number of Member States complying with obligations for reporting of fraudulent irregularities 

Baseline 
2013 

2014 

2015 

2016 

2017 

Milestones foreseen 

IMS 
refreshment  
training 
provided to MS 

Some Member States / 
Candidate Countries do not 
yet fully comply with their 
reporting obligations 

MS have been 
trained and set 
up to use IMS 

MS and 
candidate 
countries use 
actively IMS 
reporting and 
analysis 
tools215 

Actual results 

IMS manual 
revised and 
updated. IMS 5 
training was 
provided to all 
(potential) 
candidate 
countries. 

IMS manual 
split into 
booklets. All 
MS and 
candidate 
countries use 
actively IMS 
for reporting 

IMS5 training 
was provided 
to all Member 
States218.  

2018 
MS and 
candidate 
countries 
perform 
proactive 
quality 
control on the  
data 
provided216 

2019 

Target 2020 

The Commission can 
guarantee that  the 
Member States have 
at their disposal all 
means and tools to 
comply with the 
reporting 
obligations217. 

Expenditure related outputs 

Outputs 

1. AFIS Registered Users 
2. JCOs organised 
3. MA Cases 
4. IMS Communication 
Total 

Budget line 

24 04 01 
24 04 01 
24 04 01 
24 04 01 

Draft Budget 2019 

Number 

EUR million 

7,2 

211 The percentage refers to the period since the application of the new legal base for transit declarations. Not covered are transit declarations for common transit 
countries which did not consent to their usage (11.28%), declarations for transit within a Member State which did not consent (4.02%), technically malformed 
declarations which could not be processed (3.84%) and declarations for common transit countries which gave their consent only after 1 September 2016 (2.54%). 
212 Milestone has been rescheduled from 2016 to 2018 
213 IMS5 will replace IMS4, the current operational system. IMS4 can be used to fulfil the reporting obligations of MFF2014-2020. The alpha-release of IMS5 was 
made accessible to all IMS-users in February 2016. 
214 The extended online reporting system IMS5 facilitates the reporting of irregularities for the following competences: agriculture, cohesion, fisheries, pre-
accession, asylum and most deprived. 
215 Candidate countries added to milestone in 2016. 
216 Candidate countries added to milestone in 2016. 
217 Target revised in 2016. 
218 179 IMS-users of 28 countries attended the training. IMS5-training for the candidate countries is foreseen for 2016. 

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The aforementioned outputs, especially AFIS Registered Users, MA Cases and IMS Communications, cannot directly be related to 
expenditures. The AFIS financing decision219 allocates the budget according to the following categories: 
1. IT studies, development and maintenance 
2. Production services 
3. Technical assistance, training coordination and quality control services 
4. Use and maintenance of the Common Communication Network (CCN) 
5. Acquisition, maintenance and updating of various types of software, hardware and related IT services 

In  line  with  the  requirements,  the  IT  expenditures  within  these  budget  sub  lines  can  be  allocated  to  the  following  (IT)  cost 
categories: Development (43500), IS Maintenance (43800), IS Support (43850), Training (12500), ICT Infrastructure (43400), IS 
Licenses (43900) and non-IT expenditure (NO/IT). 

Outputs 

1. AFIS Registered Users 

2. JCO's organised 

3. MA Cases 

4. IMS Communication 

2014 
12 100 
8 100 
4 
4 
10 000 
10 000 
21 000 
23 700 

F 
P 
F 
P 
F 
P 
F 
P 

2015 
13 300 
8 050 
4 
3 
13 000 
12 000 
22 500 
23 400 

2016 
8 100 
8 750 
4 
4 
14 500  
13 800 
24 000 
43 600 

Number of outputs foreseen (F) and produced (P) 
2017 
8 200  
8 600 
5 

2018 
8 300 

5 

5 

2019 
8 350 

2020 
8 400 

5 

17 000 
25 500 
25 500 
88 347 

19 000 

21 500  

24 000 

27 000 

28 500 

30 000 

5. Programme contribution to the Sustainable Development Goals 

AFIS  facilitates  the  reporting  of  irregularities  detected  in  EU  funding  instruments  such  as  agricultural,  structural,  cohesion  and 
fisheries funds, the Asylum, Migration and Integration Fund (AMIF), the instrument for financial support for police cooperation, 
preventing and combating crime, and crisis  management (ISF) and the Fund for European Aid to the Most Deprived (FEAD) as 
well  as  pre-accession  aid.  Hereby  AFIS  contributes  to  the  economic  usage  of  these  EU  funding  instruments,  which  are  key 
European actions supporting the 2030 agenda and Sustainable Development Goals. 

219 E.g. the Commission Decision on the adoption of the work programme for 2015 and the financing for the implementation of the Anti-Fraud Information System, 
C(2015)684 of 13 February 2015 

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HEADING 1A: Competitiveness for growth and jobs 

Connecting Europe Facility (CEF) 
Lead DG: MOVE 
Associated DGs: CNECT, ENER 

I. Programme Overview 

What the programme is about? 

Connecting Europe Facility (CEF) is a key EU funding instrument to promote growth, jobs and competitiveness through targeted 
infrastructure  investment  at  European  level.  It  supports  the  development  of  high  performing,  sustainable  and  efficiently 
interconnected  trans-European  networks  in  the  fields  of  transport,  energy  and  digital  services.  CEF  investments  fill  the  missing 
links in Europe's energy, transport and digital backbone.  

The methods of implementation are: 

  Funding of projects (works or studies) by  means of grants and procurement: The Commission Work Programmes, either 
on annual, or multi-annual basis, define the priorities and the criteria, based on which the calls for proposals are launched 
and  the  applications  are  evaluated  and  recommended  for  funding.  The  list  of  projects  (actions)  selected  for  grants  is 
scrutinised (examination procedure) by the relevant CEF Committee. 

  Funding of projects by Programme Support Actions, as accompanying measures to deliver projects of common interest. 
  Funding  of  projects  by  cross  sectorial  Financial  Instruments  Work  Programmes.  The  Financial  Instruments  aim  at 
providing private capital finance and enhancing the risk sharing. The instruments are in the form of debt or may be also in 
equity financing. 

EU added value of the programme 

In  accordance  with  the  principle  of  subsidiarity  and  proportionality  set  out  in  Article  5  of  the  Treaty  on  European  Union,  the 
objectives of the programme cannot be sufficiently achieved by the Members States and can therefore be addressed by the EU. Due 
to disparities in Member States' capacity to act and in order to ensure a coherent approach to EU project financing across the three 
sectors, action at EU level can better achieve the objectives pursued, by reasons of its scale and effects. More specifically, the EU 
level will provide economies of scale in the use of innovative financial instruments by catalysing private investments in the TEN 
and  acceleration  of  the  implementation  of  strategic  projects  and  networks  with  high  European  added  value  by  removing  critical 
bottlenecks. 

An  integrated  EU  infrastructure  funding  framework  will  allow  exploiting  cross-sectoral  synergies  at  project  development  and 
implementation 
level,  enabling  cost  savings  and/or  more  efficient  exploitation  and  higher  returns.  Specifically  for 
Telecommunications, allowing exchanges and collaboration between citizens, businesses and public authorities within and across 
European borders, there is a clear case for EU added value through coordinating and connecting Member State activities, thereby 
ensuring interoperability and EU-wide usability. Indeed, due to non-territoriality of digital service infrastructures, and often their 
inherently cross-border character such as for example in case of seamless cross-border eGovernment services, relevant objectives of 
Europe  2020  and  the  Digital  Single  Market  can  only  be  achieved  by  a  pan-European  coordinated  infrastructure  approach.  The 
vision is to create a European ecosystem of digital services that will allow all citizens, businesses and administrations across the EU 
to fully and seamlessly benefit from living in a Digital Single Market. An integrated approach is also necessary to provide efficient 
investment  vehicles  for  the  deployment  of  state-of-the-art  broadband  networks.  The  intervention  at  EU  level  will  attract  new 
categories  of  broadband  investors  and  project  promoters,  and  encourage  the  replicability  of  innovative  broadband  projects  and 
business models. 

II. Programme Update 

Implementation status (2014-2017) 

TRANSPORT 
The  grant  funding  to  the  TEN-T  projects  has  helped  to  kick  off  major  infrastructure  investments  in  Europe  on  the  core  and 
comprehensive  networks  and  thus  contributed  to  the  overall  CEF  goals,  such  as  completing  cross-border  connections,  bridging 
missing links and removing bottlenecks.  

In 2017 the Commission selected, under the third CEF Transport call for proposals (2016 call), 152 projects of common interest for 
a total CEF funding of EUR 2.7 billion (Commission Decisions C(2017) 5078 and C(2017) 5080 of  25 July 2017). This represents 
a total investment of EUR 4.7 billion including other public and private financing. 

The  Commission  also  selected  39  projects  under  the  first  deadline  of  the  2017  Blending  call  for  a  CEF  funding  of  EUR  1.019 
billion mobilizing EUR 4.5 billion of total investment (Decision C(2017) 8803 of 5 January 2018). The call provides for blending 
grants with financing from the EIB, the CEF Debt Instrument, the European Fund for Strategic Investments, National Promotional 
Banks or private sector investors. The objective is to support economically viable projects using private finance by providing an EU 
grant to bridge the funding gap. For the second deadline, an additional EUR 350 million were added to the indicative call budget to 

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support projects in the Innovation and New Technologies priority (Decision C(2017) 7360 of 8 November 2017) in line with the 
Alternative fuels action plan of the Clean Mobility Package.  

The Commission also selected 7 projects under the 2016 Transport and Energy synergies call for a total CEF co-funding of EUR 22 
million (Decision C(2017) 2612 of 3 May 2017). 

In essence, at mid-term, following 4 CEF Transport calls (2014 / 2017), 641 projects were selected for funding for a total CEF co-
funding of EUR 22.3 billion which represents over 95% of the total grant budget (EUR 23.6 billion). The Cohesion envelope of 
EUR 11.3 billion has been completely allocated.  

In 2018 the Commission and INEA will be evaluating proposals under the 2nd phase of the Blending call and under the dedicated 
SESAR call (indicative budget of EUR 290 million), both with submission deadline of 12 April 2018. 

ENERGY 
The multi-annual work programmes for grants under CEF energy of 2014-2017 [C(2014) 2080 final of 31.3.2014, C(2015) 1363 
final of 3.3.2015, C(2016) 1587 final of 17.3.2016 and C(2017) 2109 of 31.3.2017] have been executed with a total of EUR 2.05 
billion allocated to 110 actions. The financing decision under the 2017 CEF Energy Call for Proposals will be adopted in February 
2018 (17 proposals: 8 for electricity and 9 for gas for a total amount of EUR 873 million.) 

TELECOM 
In 2014 the Commission adopted the  first CEF Telecom Annual Work Programme and launched the first activities in support of 
European  Digital  Service  Infrastructures  (hereby  referred  to  as  "DSIs").  DSIs  are  developed  according  to  two  main  parallel 
investments:  the  "Core  Service  Platforms  (CSP)",  developed  and  owned,  at  least  in  during  the  current  Multiannual  Financial 
Framework, by the European Commission via procurement contracts; and "Generic Services" implemented via grants. The CSP are 
the central hubs that provide, for each digital service, trans-European connectivity, access and interoperability. Generic Services, 
instead, are the links between the national systems and the core service platforms. The first CEF Annual Work Programme, adopted 
in  March  2014  and  amended  in  December  2014  (C(2014)  9588)  kick-started  the  deployment  and  operation  of  the  Core  Service 
Platforms  supporting  the  entire  digital  infrastructure  ecosystem,  with  a  focus  in  the  so  called  "building  blocks"  DSIs  (hereby 
referred to as "DSIs"). These specific type of DSIs offer basic capabilities that can be reused in any digital project (i.e. they are not 
domain specific) to facilitate the delivery of digital public services across borders. In this first year of implementation, support was 
also given to  the core service  platforms of Europeana, Safer Internet for  Children, eID, eSignature, eDelivery, eInvoicing, Open 
Data, Automated Translation and Cyber Security. The generic services associated with Safer Internet and eId were also called for. 

The  second  CEF  Telecom  Annual  Work  Programme,  adopted  in  December  2014  (C(2014)9490)  and  amended  in  October  2015 
(C(2015) 7381), covered the deployment and operation of the digital infrastructure for the eHealth, Online Dispute Resolution, and 
eProcurement,  on  top  of  the  continuation  of  the  activities  started  in  2014.  EUR  36.7  million  have  been  allocated  for  the 
procurement of  Core Service  Platforms. Two calls for proposals for generic services  were launched,  with a  total budget of EUR 
45.6 million: the first call allocated EUR 27.05 million to 41 proposals in the areas of eDelivery, eInvoicing, Public Open Data, 
Safer  Internet;  the  second  call  allocated  EUR  19.2  million  to  32  proposals  in  the  areas  of  eHealth,  eProcurement,  eID,  Online 
Dispute Resolution. 

On the basis of the third CEF Telecom Annual Work Programme (C(2016) 1225), in 2016 investments supported in the previous 
years continued, with a stronger focus on Generic Services, with EUR 70 million allocated to core service platforms and EUR 29 
million allocated to Generic Services. Four calls for proposals were launched: first call awarded EUR 26.2 million to 40 proposals 
proposals  in  the  areas    of  Business  Registers  interconnection  System,  Electronic  Exchange  of  Social  Security  information  and 
eProcurement; the second and fourth awarding more than EUR 11 million to 24 projects in the areas of: eDelivery, eIdentification 
and eSignature, European e-Justice Portal, Public Open Data and Safer Internet; the last call allocated more than EUR 29 million  to 
38 proposals in the  areas of Automated Translation, Cyber Security, eInvoicing and Europeana. 

The fourth CEF annual Work Programme ((C2017)696) adopted in February 2017 and amended in November 2017 (C(2017) 7732) 
catered  for the deployment, operation and evolutive maintenance of twelve digital infrastructures. Building on the investment done 
in previous years, EUR 77 million allocated to the deployment of the Generic Services and EUR 32 million to the Core Platforms.  
The  first  call  for  proposals  awarded  more  than  EUR  27  million  to  33  proposals  in  the  areas  of:  Electronic  Exchange  of  Social 
Security  Information,  eID,  eSignature,  Business  Registers  Interconnection  System  and    eJustice.  The  second  call  awarded  more 
than EUR 20 million to 64 projects in the areas of Cybersecurity, eDelivery, eHealth and eProcurement. The last call is currently 
being evaluated.  

The fifth Work Programme for 2018 (C(2018) 568) adopted on the 5th of February covers the digital service infrastructures already 
part  of  the  ecosystem  supported  in  previous  years  by  CEF  Telecom.  In  addition,  new  activities  will  be  started  such  as  the 
eArchiving, the Context Broker, the cloud-based test infrastructure and the Support Centre for data-sharing Building Blocks and the 
Mobile Payment System DSI. As regards to connectivity actions, the WP caters for the WiFI4EU initiative in continuation to the 
activities started in 2017 as well as the technical assistance facility for broadband. 

CROSS-CUTTING (Financial Instruments) 
Regarding  CEF  Financial  Instruments,  the  Commission  adopted  Annual  Work  Programmes  in  2014,  2015  and  2016  (the  latest 
C(2016)1950 of 4 July 2016, amended on 6 December 2016 by Decision C(2016) 7828), which provide for a CEF Debt Instrument 
to enhance the financing of projects of common interest in the 3 CEF sectors. The management of the CEF Debt Instrument was 

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delegated to the European Investment Bank (EIB) as entrusted entity. The Work Programmes also provide for the establishment of 
an Equity instrument in the telecommunications sector. 

With regard to the transport sector, the total allocation to the CEF Debt Instrument as of 2017 accounts for EUR 206,35 million. 
The CEF Debt Instrument to date manages a portfolio of €13.5 billion and 11 projects in the transport sector, ranging from PPP in 
the road and rail infrastructure sectors to maritime and inland ports and green shipping. 2 projects have been supported in 2017: 
Port of Cork and Baie Honfleur. In 2017 the CEF Debt Instrument capacity to support the rolling out of renewable technologies in 
the transport sector have been reinforced by the Commission Decision (C(2017) 7656 final) to allow the use of up to €450 million 
of  NER300  funds  thought  the  CEF  Debt  Instrument  and  InnovFin  EDP.  Also,  the  Commission,  in  cooperation  with  the  EIB, 
established a risk mechanism, the Green Shipping Guarantee programme, to support the greening of the EU shipping fleet and the 
sustainable objectives of the Motorways of the Sea. To date two framework agreements have been signed with commercial banks 
and the first transaction was signed in 2017. The programme piloted under the CEF Debt Instrument will be rolled out under the 
European Fund for Strategic Investments and it is expected to mobilise up to EUR 3 billion of investments. 

The  Loan  Guarantee  Instrument,  which  is  part  of  the  CEF  Debt  financing,  supported  the  Tours-Bordeaux  also  known  as  South 
Europe  Atlantic  High  Speed  (320  km/h)  is  a  high  speed-rail-link  with  total  project  costs  of  around  EUR  7  billion.  The  project 
became operational in 2017. 

In December 2016 the Commission and the European Investment Bank (EIB) announced the plans to launch the Connected Europe 
Broadband  Fund,  incorporated  in  Luxembourg,  as  part  of  the  first  phase  establishing  the  fully  fledged  equity  instrument.  The 
European  Commission  will  invest  EUR  100  million  into  the  Fund  from  the  Connecting  Europe  Facility  (CEF),  and  will  also 
contribute via the European Fund for Strategic Investments (EFSI). The Connecting Europe Broadband Fund is expected to become 
operational  mid-2018,  leveraging  contributions  from  the  European  Investment  Bank,  three  National  Promotional  Banks  –  KfW 
Bankengruppe from Germany, Cassa Depositi e Prestiti from Italy and Caisse des Depots et Consignations from France – as well as 
the private sector. 

In  the  energy  sector,  the  first  CEF  Debt  Instrument  is  expected  to  be  concluded  by  the  EIB  in  2Q  2018  (relying  on  the  credits 
committed 2014-2017). 

Key achievements 

TRANSPORT 
The  grant  funding  to  the  Trans-European  Transport  Network  (TEN-T)  projects  has  helped  to  kick  off  major  infrastructure 
investments in Europe on the TEN-T Core and Comprehensive networks, thus contributing to achieve the overall CEF goals such 
as improving cross-border transport links and bridging the missing links.  

Under the CEF 2016 call for proposals (selection Decision of 25 July 2017) the following projects witness the added value of  CEF 
funding: the upgrade of the over 100 km-long Białystok-Ełk rail section in North-East of Poland as part of the Rail-Baltica project 
modernisation; modernisation of Air Traffic Management systems in all EU Member States; full expansion of the Karawanken road 
tunnel  linking  Slovenia  and  Austria;  development  of  a  high-speed  electric  vehicle  charging  network  across  Sweden,  Denmark, 
Germany, France, the United Kingdom and Italy. 

Under  the  1st  phase  of  the  2017  CEF  Blending  call,  the  largest  part  of  the  funding  is  devoted  to  developing  the  European  rail 
network  (EUR  719.5  million),  decarbonising  and  upgrading  road  transport  (EUR  99.6  million),  as  well  as  developing  maritime 
ports (EUR 78.9 million) and inland waterways (EUR 44.7 million). The projects include such flagship initiatives as increasing the 
cross-border  speed  of  the  railway  access  line  to  the  Fehmarnbelt  tunnel  between  Denmark  and  Germany;  enlarging  and 
modernizing the Divača-Koper railway line in Slovenia to improve its capacity, safety and reliability; adapting the most important 
Belgian inland waterway, the Albert canal, for larger freight transport; as well as improving the capacity of the Port of Gdansk in 
Poland. In the area of Innovation and Alternative Fuels, several projects encompassing several Member States and Corridors have 
been  selected  with  an  objective  of  deploying  Ultra-Fast  Charging  for  Electric  Vehicles  (see  project  examples  and  fiches  in  the 
following sections). 

The Multiannual Work Programme includes a number of Programme Support Action (PSA) to be implemented in 2014-2020. In 
particular,  PSAs  are  being  funded  to  directly  support  Cohesion  Member  States  in  preparing  project  proposals,  to  support  to  the 
participation  of  Member  States  in  the  core  network  corridors,  to  support  infrastructure  managers  and  national  authorities  in  the 
establishment of the Rail Freight Corridors, to enhance the cooperation between Railway Infrastructure Managers for better safety 
management.  The  PSAs  also  include  the  support  to  the  Commission  in  implementing  the  horizontal  priorities  such  as 
SESAR/single European Sky, ERTMS and the Intelligent Transport Systems. 

ENERGY 
The  following  actions  financed  under  the  second  call  for  proposals  in  2016  (CEF-Energy-2016-2)  are  considered  illustrative 
examples of addressing CEF key policy priorities and cross-border issues. 

In  the  electricity  sector,  a  grant  has  supported  the  implementation  of  Germany's  largest  energy  infrastructure  project  in  its 
preparation phase: the SuedLink project (EU support €40.25 million). It is the first project of this kind on such a large scale: 700 
kilometres of high voltage cables due to be laid fully underground. The power line will create an urgently needed link between the 
wind power generated in the north and the consumer centres in the south of Germany. It will ensure better integration of renewable 
energies and it will also further enhance the cross-border exchange of energy with other EU Member States. 

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In  the  gas  sector,  the  Connecting  Europe  Facility  has  supported  the  construction  of  an  off-shore  LNG  terminal  on  the  Croatian 
island of Krk (EU support €102 million) which will bring diversification in the region mostly dominated by one single source of 
supply. It will thus improve energy security and price competitiveness in the region. 

Furthermore,  a  smart  grid  project  (SINCROGRID  project)  that  will  lead  to  more  efficient  use  of  the  existing  electricity 
transmission  grid  in  both  Slovenia  and  Croatia  has  received  financial  support  (of  €40  million).  This  will  enable  current 
infrastructure to cope with the uptake of additional renewable energy and result in greater energy security without the need to build 
new overhead cables. 

TELECOM 
The Connecting Europe Facility supports the deployment and promotion of interoperable Digital Service Infrastructures (DSIs), of 
Internet connectivity in local communities and broadband across the EU.  

- Digital Service Infrastructures (DSIs) 

DSIs  are  based  on  mature  technical  and  organisational  solutions  to  support  exchanges  and  collaboration  between  citizens, 
businesses  and  public  authorities.  The  vision  is  to  create  a  European  ecosystem  of  digital  services  that  will  allow  all  citizens, 
businesses and administrations across the EU to fully benefit from living in a Digital Single Market. For example, when travelling 
abroad a citizen will be able to enjoy the continuity of care by using cross border services to access his or her clinical information 
or receive ePrescriptions. Another example is the Online Dispute Resolution service, which allows both consumers and traders  to 
be more confident in trading online and  across borders, as they know that their disputes  – if any- can be solved out of court in a 
simple, fast and low-cost way. 

DSIs are developed according to two main parallel investments: the Core Service Platforms (CSP), developed and owned, at least 
in during the current MFF, by the European Commission via procurement contracts; and Generic Services implemented via grants. 
The  CSP  are  the  central  hubs  that  provide,  for  each  digital  service,  trans-European  connectivity,  access  and  interoperability. 
Generic Services, instead, are the links between the national systems and the core service platforms.  

2015 was marked by a steady progression towards this vision by complementing the deployment of the Core Service Platforms at 
EU level, launched in 2014, with the Generic Services linking it to the Member States . Moreover, in accordance with the project 
pipeline outlined in the CEF Telecom Guidelines, new services have been added to the digital services portfolio, such as eHealth, 
Online Dispute Resolution and eProcurement. In 2016 investments supported in the previous years continued with a stronger focus 
on  the  links  to  the  national  infrastructures.  Examples  of  achievements  up  to  date  are  reported  below,  although,  as  most  of  the 
Generic Services projects have barely started, they are to be seen as work-in-progress towards achievements to come. 

  European e-Justice DSI 

The  European  e-Justice  DSI  facilitates  cooperation  between  national judicial systems. It  works like a one-stop-shop for citizens, 
businesses and legal professionals across Europe. “IRI for Europe” is a project that connects insolvency registers from five Member 
States  (Germany,  Italy,  Romania,  Croatia  and  France)  in  order  to  improve  the  information  provided  to  the  relevant  debtors, 
creditors and courts involved, and to prevent the opening of parallel insolvency proceedings. 

  eHealth DSI: 

The eHealth Digital Service Infrastructure facilitates continuity of care and patient safety of citizens seeking cross-border 
healthcare, allowing health data to be exchanged across national borders. The Core Service Platform of eHealth DSI facilitates 
continuity of care and patient safety for citizens seeking cross-border healthcare, allowing health data to be exchanged across 
national borders. Currently eHealth focuses on the exchange of Patient Summaries (digital summaries of patients' medical status, 
especially helpful in an emergency situation) and ePrescriptions (digital drug prescriptions, that allow patients to pick up 
medication in any of the participating pharmacies abroad). The activities foreseen under this action will make life easier for EU 
citizen seeking care abroad.  To the date, 16 actions for generic services connecting to the Core Service Platform have been 
supported in 16 Member States 

  eIdentification DSI 

The eID building block addresses the challenge of cross-border recognition of nationally issued eIDs, enabling Europeans to access 
online public services across Europe seamlessly. Once this building block is deployed in a Member State, the mutual recognition of 
national eIDs becomes possible between participating Member States, in line with the eIDAS Regulation (see eIDAS Regulation 
(EU) 910/2014). It will then be possible for public administrations and private online service providers to easily extend the use of 
their online services to citizens from other EU Member States. For example, an EU citizen will be able to access a public service of 
another Member State using his or her own national means of identification. In this context CEF is financing an ambitious project 
that is laying the groundwork for the actual use of eID in the Netherlands. The eIDAS 2018 Municipalities Project enables citizens 
of EU Member States and EEA countries to electronically prove their identity with their nationally issued eID when seeking access 
to around 300 services in 81 municipalities across the Netherlands. The solution is currently available for Austrian,  German  and 
Belgian eID holders, and should progressively be extended to other countries connecting to the eIDAS network.  

- Broadband 

The Connecting Europe Broadband Fund, established under CEF Equity Instrument with EFSI support is the main deliverable in 
the area of broadband in 2016 and 2017. The Fund is expected to become operational mid-2018, leveraging contributions from the 
EIB, three national promotional banks, as well as from private investors. 

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This  fund  will  invest  in  broadband  network  infrastructure  across  underserved  areas  of  Europe.  The  launch  of  the  investment 
platform  was  planned  in  the  Commission's  strategy  "Connectivity  for  a  Competitive  Digital  Single  Market  –  Towards  a  Gigabit 
Society" and it is an important step towards the  deployment of  the  very  high-capacity  networks that Europe needs  for its digital 
economy and society. 

In 2018, the first call for the WiFi4EU will be launched to allow for the installation of free WiFi hotspots in public spaces. 

Evaluations/studies conducted 

On 13 February 2018 the Commission issued a report to the European Parliament and Council concerning the mid-term evaluation 
of the CEF, under article 27 'Evaluation' of the CEF Regulation (COM(2018)66) 

The evaluation found that CEF is an effective and targeted infrastructure investment instrument with high absorption capacity and 
fast delivery. By end 2017 it had invested, in all  3 sectors, EUR 25 billion  which have  resulted in  more  than EUR 40 billion of 
overall  infrastructure  investments  in  the  EU,  thus  contributing  to  the  Commission's  priorities  relating  to  'Jobs,  growth  and 
investment', 'internal market', 'Energy Union and climate', and 'Digital single market'. CEF is funding actions in all Member States 
supporting almost exclusively projects with a cross-border dimension. Most funding is awarded to projects bridging missing links 
and removing bottlenecks to  ensure  the good functioning  of the EU internal  market in  transport,  energy and telecommunication. 
The direct management of the CEF has proved efficient, with a competitive selection process of projects, paving the way for result-
driven  and  coordinated  implementation  of  CEF  as  a  whole.  The  objective  of  the  CEF  to  promote  synergies  between  sectors  at 
project level however has not been achieved so far mainly due to the rigidity of the current legal/budgetary framework. Moreover, a 
greater  flexibility  of  the  instrument  would  prove  advantageous,  both  as  regards  the  sectors  and  the  priorities  within  each  sector, 
notably  to  address  new  policy  priorities  and  new  technological  developments.  Better  indicators  and  data  are  also  needed  to 
determine the precise extent of CEF funding contribution to the completion of the TENs. 

The evaluation was supported by a study carried out by an external contractor and finalised in September 2017. 

In  line  with  Art  17  of  the  TEN-E  Regulation  (347/2013)  the  Commission  reported  on  all  the  aspects  of  the  performance  of  the 
TEN-E  framework  required  under  this  article.  This  has  been  documented  in  the  Commission  Staff  Working  Document 
(SWD(2017)425)  accompanying  the  Commission  Delegated  Regulation  amending  TEN-E  Regulation  (i.e.  3rd  PCI  list; 
C(2017)7834).  The  assessment  of  the  TEN-E  framework  was  supported  by  a  study  carried  out  by  an  external  contractor  which 
should be published in Q2 2018. 

Specific studies: 

  TEN-T  Core  Network  Corridor  studies:  following  the  Corridor  studies  in  2016-2017,  contracts  for  new  such  studies 
covering 2018-2019 are being launched with the aim of providing technical and economic assessment of the Corridors, proving 
input to the Corridor Fora, assisting the Coordinators, and identifying project pipelines.  

  Study on the impact of TEN-T completion on jobs, growth and climate: the study, which will be finalised in Spring 2018, 
will  also  provide  possible  scenarios  for  transport  part  of  the  Impact  Assessment  in  view  of  CEF2  in  terms  of  budget  and 
funding priorities. 

  Study on the impact of PCIs aiming at collecting and interpreting information related to the implementation of several gas 

and electricity PCIs. The study analysed: 

 

 

 

information on planning and development of projects, difficulties encountered in the PCI implementation and Union funds 
engaged; 
the effectiveness of the permitting procedures and with regards to regulatory treatment, the evaluation identified projects 
having received a cross border cost allocation decision and/or specific regulatory incentives; 
the  impact  of  PCIs  only  on  the  Member  States  that  have  not  met  the  targets  set  for  the  energy  policy  objectives  of 
electricity interconnectivity and diversification of gas supply. 

Despite the discrepancy between the initially planned and actual commissioning dates of PCIs in both sectors, the study concluded 
that  PCIs  are  expected  to  eliminate  or  significantly  decrease  dependence  to  import  prices  for  some  Member  States  and  increase 
resilience to import prices for others. In the gas sector, Bulgaria, Estonia and Finland are good examples of Member States that, 
through the implementation of PCIs, could increase their liquidity, have a strong impact on covering supply gaps, ending market 
isolation, and enhancing flexibility for most other markets as early as 2020. With reference to the electricity sector, with the impact 
of  PCIs,  Portugal,  Ireland,  Germany,  France  and  (marginally)  the  United  Kingdom  will  have  reached  the  10%  electricity 
interconnectivity target by 2020. The study should be now published by Q2 2018. 

- The CEF Digital Service Infrastructure Maturity Study assessed the maturity of the digital service infrastructures supported by 
the Connecting Europe Facility programme. The study gives an overview on the technical maturity of specific infrastructures to be 
deployed as of 2015. It concluded that many of the digital service infrastructures considered for deployment have an intermediate 
or advanced level of technical  maturity. In this context,  technical  maturity  means that  no further testing or piloting activities are 
necessary and that the related DSI can be finally developed and deployed for operational use by the targeted users communities, 
being  them  public  administration  ,business  organisation  or  citizens.  The  study  concluded  that  many  of  the  digital  service 
infrastructures considered for deployment at the time had an intermediate or advanced level of technical maturity. In particular, it 
served as basis to time the enlargement of the Digital Services portfolio and the prioritisation of the activities. 

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More under: https://ec.europa.eu/digital-agenda/en/news/study-maturity-digital-service-infrastructures-supported-
connectingeurope-facility  
- The Long-term sustainability of digital service infrastructures study220. The objective of this study was to assist policy makers 
in  selecting  the  most  relevant  and  credible  solutions  to  ensure  the  sustainability  of  all  DSIs  post-2020.  This  study  covers  15 
different DSIs that have been awarded CEF funding through annual CEF work programmes from 2014 up to 2016, and provides 
indications  on  possible  models  for  operations  and  maintenance  of  the  deployed  DSI  after  the  end  of  the  current  Multi-Annual 
Financial  Framework  The  assignment  therefore  focused  on  identifying  the  long-term  needs  and  requirements  of  each  DSI  and 
across  DSIs.  It  established  a  list  of  possible  solutions  and  assessed  those  from  an  individual  and  cross-DSI  perspective  and 
according to the characteristics of groups of DSIs, by means of a sensitivity analysis. All these steps were also summed up into a 
Pugh  analysis  comparing  the  benefits  and  weaknesses  of  the  most  promising  solutions  in  order  to  provide  policy  makers  with  a 
menu of options for the future. It emerged that handover of DSIs to an EU Regulatory Agency would be the most suitable solution 
taking all DSIs together, but that inclusion in a new programme to take over from the CEF from 2021 would also be a very viable 
option. The study also explains which solutions could suit individual DSIs or clusters of DSIs best. 

Forthcoming implementation (2018-2019) 

TRANSPORT 
In  application  of  the  Multi-Annual  Work  Programme  under  Decision  C(2017)164  of  20  January  2017,  as  amended  by  Decision  
C(2017) 7360 of 8 November 2017, the Commission will implement the 2nd phase of the Blending call for which the deadline for 
proposal  submission  is  12  April  2018.  A  selection  Decision  is  expected  in  summer  2018.  The  call  aims  at  supporting  projects 
blending CEF transport grants with financing from EIB, CEF Debt Instrument, European Fund for Strategic Investments, National 
Promotional  Banks  or  private  investors.  An  additional  amount  of  EUR  350  million  is  available  under  the  2nd  deadline  for 
Innovation projects in line with the Alternative Fuels action plan of the Clean Mobility package. 

The Commission is also preparing an additional amendment to the Multi-Annual Work Programme with a view to launching a call 
in May 2018, under the General envelope, for an indicative budget of about EUR 450 million. The proposed amendment concerns 
Funding  Objectives  and  priorities  supporting  the  policy  orientations  in  the  upcoming  3rd  Clean  Mobility  Package.  The  focus  of 
financial  assistance  will  thus  be  on  CEF  Transport  priority  Actions  relating  to  the  cross-cutting  objectives  of  transport 
digitalisation, road safety and multimodality. Following joint work with DG CNECT on potential synergies between CEF Transport 
and CEF Telecoms, it is intended that this call be prepared in coordination with a CEF Digital call to be launched at the same time. 

In the course of 2018 the Commission and INEA will be carrying out an in-depth review of the 2014/2015 project portfolio under 
the  Multi-Annual  Work  Programme.  This  is  common  practice  at  programme  mid-term  to  ensure  tight  management  of  CEF 
Transport grants and efficient and effective use of EU funds.  

In 2019 and 2020 the Commission plans to launch additional calls for proposals under both the Annual and Multi-Annual Work 
Programmes  for  priorities  and  budget  amounts  yet  to  be  determined.  With  regard  to  the  Programme  Support  Actions,  the 
Multiannual Work Programme adopted on 17 January 2018 provides for: 

  The continuation of four existing PSAs with an increased budget: (1) support to the Central Commission for the Navigation of 
the Rhine, (2) support to the Danube Commission for the years 2019-2021, (3) support for the preparation and implementation 
of CEF projects in the Cohesion Member States in the period 2018-2021, and (4) modelling system for EU and Neighbouring 
countries – integration of the modelling into the TEN-TEC portal. 

  The addition of six new PSAs: (1 and 2) two actions on support to the Member States for the collection of data in the context 
of  the  Commission  Mobility  Package  of  November  2017  (Alternative  Fuels),  (3)  support  to  the  Member  States  in  the 
development  of  standards,  in  particular  for  urban  nodes  and  public  transport,  (4)  support  to  the  European  Aviation  Safety 
Agency for Big Data for Aviation and a planned development of ECCAIRS – safety occurrences reporting, (5) a study for the 
deployment of ERTMS along the TEN-T Core and Comprehensive Networks, and (6) accounting of costs related to IT tools 
for the evaluation of CEF proposals. 

ENERGY 
The multi-annual work programme 2018-2020 for grants under CEF energy was adopted on 16th March 2018. It foresees two calls 
for proposals with a total value of EUR 900 million (200MEUR for the first call and 700MEUR for the second call 2018). In 2019 a 
similar work programme for grants implementation will be adopted following the budgetary implementation rules. 

In 2018, there are no commitment appropriations for financial instruments (budget line 32 02 01 04). 

CEF TELECOM 
The Work Programme 2018 was adopted on 5 February, through the Commission Implementing Decision C(2018) 568 . In 2018 
CEF Telecom will not only continue the deployment and operation activities of the DSIs supported in the previous years but will 
also  include  two  new  DSIs:  eArchiving  and  P2P  mobile  payments.  The  document  outlining  the  orientations  of  the  Work 
Programme 2019 will be discussed for the first time with the Member States in June. After that, the actual Work Programme will be 
drafted and discussed. It is scheduled for adoption in the first quarter of 2019. It is currently foreseen that the support to previous 
activities  will  continue,  while  the  introduction  of  new  Digital  Services  will  be  assessed  in  accordance  with  the  Regulation  (EU) 
283/2014 on the guidelines for trans-European networks in the area of telecommunications infrastructures. It is also foreseen that 

220   https://publications.europa.eu/en/publication-detail/-/publication/ed6ddbc9-c8f2-11e7-9b01-01aa75ed71a1/language-en/format-PDF/source-65021969  

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the  CSP  will slowly decrease passing  from a design and basic development phase to a  maintenance,  upgrade and  functionalities 
expansion  phase.  Generic  Services  are  expected  to  grow  in  importance  as  they  are  vital  to  complete  the  deployment  of  the  pan-
European cross-border interoperable infrastructure. 

In 2018, the first call for the WiFi4EU will be launched to allow for the installation of free WiFi hotspots in public spaces.  The 
Connecting Europe Broadband Fund will be commercially launched in 2018.  We have already started investing the roll out of high 
capacity networks in underserved areas. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 1316/2013 of the European Parliament and of the Council of 11 December 2013 
establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing 
Regulations (EC) No 680/2007 and (EC) No 67/2010  Regulation (EU) 2015/1017 of the European Parliament 
and of the Council of 25 June 2015 on the European Fund for Strategic Investments, the European Investment 
Advisory Hub and the European Investment Project Portal and amending Regulations (EU) No 1291/2013 and 
(EU) No 1316/2013 — the European Fund for Strategic Investments (OJ L 169, 1.7.2015, p. 1). 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

30 442,3 

Administrative support 
Operational appropriations 
Executive Agency 
Joint undertaking 
Total 
Contribution from Cohesion Fund 
Total  with 
Cohesion Fund 

contribution 

from 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

5,8 
1 958,8 
11,6 

5,3 
1 416,4 
13,4 

5,0 
2 116,6 
12,9 

4,6 
2 451,4 
13,8 

5,0 
2 729,2 
14,3 

1 976,2 
983,0 

1 435,0 
1 217,0 

2 134,5 
2 376,5 

2 469,7 
1 593,3 

2 748,4 
1 655,1 

4,8 
3 691,0 
15,1 
39,1 
3 750,0 
1 700,4 

5,1 
4 031,1 
16,2 
58,6 
4 111,0 
1 780,6 

Total 
Programme 
35,5 
18 394,5 
97,2 
97,7 
18 624,9 
11 305,9 

2 959,2 

2 652,0 

4 511,0 

4 063,0 

4 403,6 

5 450,5 

5 891,6 

29 930,8 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

2 469,728 

99,77 % 

924,944 

99,56 % 

2 748,429 

66,69 % 

1 515,764 

6,81 % 

Authorised appropriations (*) 

2 504,743 

99,75 % 

988,480 

97,70 % 

2 757,980 

66,48 % 

1 540,780 

7,97 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

Contribution to Europe 2020 priorities 

Priority 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Smart Growth (innovation, education, digital society) 
Sustainable Growth (competitiveness, climate, energy and mobility) 
Total 
Smart growth: 100 % Telecommunication part (lines 09 03 01; 09 03 02; 09 03 03). 
Sustainable growth: 100 % Transport part (article 06 02 01) and Energy part (article 32 02 01). 
Contribution to mainstreaming of climate action 

119,7 
4 229,0 
4 348,7 

Relevant objective/output 

Budget 2018 
(EUR Million) 
1 683,0 

DB 2019 
(EUR Million) 
2 123,4 

Contributing to sustainable and low carbon TEN-T and TEN-E networks 
Total 
The  total  amount  corresponds  to  around  40%  of  CEF  allocation  to  transport  and  energy  sectors  (all  budget  lines)  including  the 
contribution  from  the  Cohesion  Fund  and  to  the  financial  instrument  lines.  The  telecommunication  sector  does  not  contribute 
directly to the mainstreaming of climate action. 

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Details on transport sector budget's contribution to the mainstream of climate action: 
The estimates are based on the methodology agreed between MOVE and REGIO: 
Railway projects: 
Inland Waterway projects: New technologies and innovation for all modes of transport 
Multimodal platform: 
Motorways of the sea/sea ports 
Horizontal projects (Traffic Management Systems): 
Road projects 
Reduce rail freight noise by retrofitting of existing rolling stock 
Freight transport services 
Secure parking on road core network 
New technologies and innovation for all modes of transport 

40% 
40% 
40% 
40% 
40% 
0% 
0% 
40% 
0% 
100% 

Explanation on energy 
In analogy with the transport sector, 40% of the CEF allocations to the energy sector are assumed to contribute to mainstreaming of 
the climate action (cf. programme statements for DB 2015-DB 2017). The climate spending for CEF Energy has been estimated at 
40% for the whole programme for 2014-2020. 

This  percentage  has  been  assumed  as  an  average  at  programme  level  independently  of  the  type  of  action  supported,  size  or 
component of a project or infrastructure category. In general, among energy infrastructure categories it is assumed that electricity 
(high-voltage grids, smart grids as well as storage) contributes more to climate action than gas (pipelines, underground storage and 
LNG facilities), as in view of the 2020 targets newly built power grids will carry electricity from renewable sources. 

In  the  second  half  of  the  multiannual  financial  framework  (MFF),  the  number  of  projects  of  common  interest  in  the  electricity 
sector which will mature is likely to increase, and the share of funding to the electricity sector is therefore expected to increase, too. 
Pending  the  completion  of  the  mid-term  evaluation  of  the  CEF  programme,  which  will  look  to  what  extent  CEF  funding  has 
contributed to the EU policy to devote at least 20% of the EU funding to climate action objectives, it is proposed to keep the same 
percentage at programme level as for the 2014-2017 period. 

CEF Sector 

2014 

2015 

2016 

2017 

2014-2017 

2018-2019 estimates 
2019 
2018 

programming 
2020 

Total 
2014-2020 

Transport 
Energy 
Total 
Consolidated and updated comparable information for the annual expenditures adopted, estimated or programmed for the 2014-
2020 programming period (totals by sector in EUR million). 

982,1 
147,4 
1 129,5 

890,7 
139,1 
1 029,8 

1 537,8 
198,7 
1 736,5 

1 329,8 
248,2 
1 578,0 

1 412,4 
270,6 
1 683,0 

1 726,6 
396,8 
2 123,4 

1 780,0 
478,6 
2 258,6 

9 659,5 
1 879,4 
11 538,9 

4. Performance information 

General objectives 

General  Objective  1: Developing  modern  and  high-performing  trans-European  networks  and  creating  an  environment  more 
conducive to private, public or public-private investment 
Indicator 1: Volume of private, public or public-private partnership investment in projects of common interest 

2014 
0 

CEF Sector 

Transport 

Energy 

Telecom 

Total 

2015 

2016 

2017 

Milestones foreseen 

2018 
22,341.9 

1,620.3 

234.9 

2019 
33,019.7 

2020 
42,414.7 

2,704.7 

3,257.2 

234.9 

234.9 

Target (in EUR 
million) 

Transport 500,000 of 
investments realised on 
the entire TEN-T 
network, of which 
250,000 on the core 

24,197.1 

25,959.3 

45,906.8 

network* 

853.9 
19.6 
27.9 
901.4 

5,752.9 
352.1 
197.9 
6,302.9 

2,399.20 
167.5 
104.1 
2,670.7 

Transport 
Energy 
Telecom 
Total 

Actual results 
12,520.3 
822.5 
234.9 
13,577.7 
Source:  INEA  -  Costs  correspond  to  the  latest  available  information  (grant  agreements  and  Action  Status  Reports)  for  CEF  Transport/Energy 
actions. Costs are attributed to the year in which they have been, or are expected to be, incurred. For CEF Telecom no yearly split is available, 
costs have been assigned to the year of signature of the grant agreement. For CEF Telecom lump sum actions, the EU contribution was considered 
as costs. For CEF Synergy the costs have been allocated under Transport and Energy sector based on the activity sectors. The costs are indicated 
in EUR million and cumulated over the years. 
The data measure total investment (i.e. eligible costs) for all signed CEF grant agreements (i.e. data don't measure overall investments in the entire 
TEN-T network, to which various other actors - including Member States, structural funds and private sector – contribute). 
*The target is for the overall investments in the network (incl. projects not co-financed by CEF). 

Telecom: 1 - 1.7 
billion 

Energy: 
200,000 

157/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

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Indicator 2: Volume of private investments in projects of common interest achieved through the financial instruments under the 
CEF Regulation 
Baseline 
2013 

Target 2022 
(in EUR million) 

Milestones foreseen 

2014 

2015 

2016 

2019 

2017 
Transport: 
400 of 
investment in 
projects of 
common interest 

2018 
Transport: 
500 of 
investment in 
projects of 
common interest 

0 

Energy 

Energy 

Telecom: 
100 -205 private 
investor 
contribution to 
the Connected 
Europe 
Broadband Fund 

Telecom: 
200-340 private 
investor 
contribution at 
Fund or at 
project level 
(CEBF) 

Actual results 

Transport 
1700 
investment in 
projects of 
common 
interest 

Transport: 
Up 26 00 of 
investment in 
projects 
of common interest 

Energy: 
5 000-10 000** 

Telecom: 
1 000-1 700 

0 

0 

37,5 payment in the 
Green Shipping 
Guarantee 
Programme 

Transport:23.6*  Transport: 37  Transport: 96 

* The payment to the European Investment Bank covers the contribution to a Green Shipping Guarantee Programme, established under the CEF 
Debt Instrument. The Green Shipping Guarantee Programme,  which will be rolled out under the CEF Debt Instrument and European  Fund for 
Strategic Investments, is expected to finance EUR 3 billion of investments. The payment of 2017 refer to the projects: Port Of Cork - Ringaskiddy 
Port Development and HAFEN LINZ TENINFRASTRUKTUR 
**This includes the projected CEF Debt operation in the energy sector and TEN-E projects completed with the financing mobilised under EFSI to 
which CEF contributed financially [e.g. BRUA project, TAP]  
The  take-up  of  the  Financial  Instruments  under  CEF  is  slower  than  expected  due  to  implementation  of  the  European  Fund  for  Strategic 
Investments and some Public Private Partnership projects being financed from appropriations under the 2007-2013 period. 
Indicator 3: Volume of private investment in fast and ultra-fast broadband internet 

Baseline 

Milestones foreseen 

2014 

2015 

2017 

2018 

2019 

2016 
N/A 
Actual results 

N/A 

0 

0 

0 

0 

Target 2020 
(in EUR million) 
Projection of private 
investment between 
2011 and 2020: up to 
50 000 
(Investment need 
until 2020: 270 000) 

At least a 
third of the expected 
1 000-1 700 
Estimate based on the structure of the investment platform, pooling resources from private and public resources, as well as on the investment 
guidelines with foresee minority stake participation at project level.   
Indicator  4: Volume  of  public  and  private  investment  in  projects  of  common  interest  for  fast  and  ultra-fast  broadband  internet 
funded by CEF 
Baseline 
2013 

Target 2020 
(in EUR million) 

Milestones foreseen 

2016 

2014 

2015 

2019 

2017 
Expected 100 
CEF 
contribution 
next to 290 
other public 
funds to 
create an 
Equity Fund 

2018 
Telecom: 
200-340 
private 
investor 
contribution 
at Fund or at 
project level 
(CEBF) 

189 

0 

0 

0 

Actual results 

0 

0 

0 

100 CEF 
contribution 
committed to 
the fund, 
launch is 
foreseen for 
2018 

No CEF funds committed to fast and ultra-fast broadband in 2015-2016, as preparations for the equity fund were ongoing. 

189 private 
investments raised by 
Axione project, 
financed under the 
project bond pilot and 
now incorporated in 
the CEF portfolio.  
390 
public funds (EU, 
EIB, NPBIs) 
plus expected 
1 000-1 700 
plus private 
investment 

158/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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General  Objective  2: To  enable  the  Union  to  achieve  its  sustainable  development  targets  of  a  minimum  20%  reduction  of 
greenhouse gas emissions compared to 1990 levels, a 20% increase in energy efficiency and raising the share of renewable energy 
to 20% by 2020 
Indicator 1: Reduction of greenhouse gas emissions 

Former situation 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

846 Mt CO2 eq. (1990) 
1101 Mt CO2 eq. (2008) 
(EU28) 

Energy: 19 % (2013) 

Transport: 881 Mt of CO2 eq (level in 2030) 
(20% reduction by 2030 compared to 2008) 

Actual results 

22.1% 

23%*** 

Transport: 
1020 Mt CO2 
eq. in 2014 
*PM2.5: 182 kt 

Long term target 

Transport: 338 Mt of 
CO2 eq (level in 
2050) 
(60% reduction by 
2050 compared to 
1990) 
Energy: 20% (Europe 
2020 target) 

Source: European Environment Agency 
(*) PM2.5 - the latest available data measurements for transport (excluding aviation cruise and international shipping) are - 2008-2014: - 31% 
(**) The latest data available on greenhouse gas emissions statistics for transport, including international aviation, published by the European 
Environmental Agency based on the data sent by countries to the UNFCCC and the EU Greenhouse Gas Monitoring Mechanism (EU Member 
States) is for 2014. Data for 2015 is not yet available. Data excludes maritime international bunkers but includes international aviation. 
Data from the SME Performance Review 2017 based on figures for 2014.  SME's value added grew in 2015 by 5.7% and employment by 1.5% 
(***) 2015 data based on country reporting under UNFCCC; 2016 data based on the EEA proxies 

Indicator 2: Increase in energy efficiency 

Former situation 

Transport: (*) 
Energy: In 2014 the EU 
was already 2.2% below 
the final energy 
consumption target of 
1086 Mtoe for 2020, but 
still 1.6% above the 2020 
target for primary energy 
consumption of 1483 Mtoe 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Transport: (*) 
Energy: The Impact Assessment accompanying the proposal for amending Directive 
2012/27/EU (COM(2016) 405 final) was published in November 2015. 

Target 2020 

Commission's Report on Member States' progress towards their indicative targets for 2020 
(COM(2017) 56 final) published in February 2017. 
Actual results 

EU was 0.4% below the final 
energy consumption 
target of 1086 Mtoe for 2020,  
but still 3.1% above the 
2020target for   
primary energy consumption 
of 1483 Mtoe 1530 Mtoe 
primary energy consumption  

Transport: (*) 
Energy: 20% saving 
of energy by 2020 
(Europe 2020 target) 

Source: Eurostat, Commission studies. 
(*)This  indicator  is  defined  according  to  the  Energy  Efficiency  Directive  2012/27/EU,  applicable  to  the  EU  overall  economy.  Transport 
contributes  without  a  specific  sectoral  target,  as  mentioned  in  the  Connecting  Europe  Facility  Regulation  (EU)  No  1316/2013.  Baseline  is 
PRIMES 2007 in 2020, which includes policies to be implemented up to 2006 with an oil price of EUR 56.83 per barrel and reference year 2005. 
Calculated as Gross Inland Consumption minus Final Non-Energy Use Consumption. 
NOTE: The CEF will be contributing to this target but CEF is not the key driver. Main drivers for attaining our energy efficiency targets are our 
legislation in the energy efficiency field, namely the Energy Efficiency Directive (EED), the Energy Performance of Building  Directive (EPBD), 
Labelling and Ecodesing and national policies/programmes. 
Indicator 3: Share of renewable energy 

Baseline 
2013 

2014 

2015 

Milestones foreseen 
2016 

2017 

2018 

2019 

Target 2020 

Transport: 4.8 % (2010, 
EU27) 
Energy: Share of RES in 
final energy consumption at 
16% (2014) 

Transport: (*) 
Energy: RES in final energy consumption Trajectory with interim targets contained in Annex 
1b of Dir. 2009/28/EC: 2011/2012: 10,8%; 2013/2014: 12%; 2015/2016: 13,7%; 2017/2018: 
16% 
June 2015: Commission's Renewable energy progress report (COM (2015) 293 final) 
Actual results 

Transport 5,9% 
preliminary 
data 

Transport 6 % 
share of 
renewable 
energy*** 
Share of RES in 
final energy 
consumption 
estimated at 
16,4%*** 

Share of RES 
in final energy 
consumption 
estimated at 
17,04%**** 

No figures for 
2017 yet 

Transport: 10%** 
Energy: Share of 
RES 
in final energy 
consumption at 20% 
(Europe 2020 target) 
(*) 

Source: Eurostat 
(*)The CEF will contribute to this target but it is not the key driver. 
(**) the share of renewables in energy use in transport is derived according to the definition set in the Renewable Energy Directive 2009/28/EC 

159/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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(***) Commission's Renewable Energy Progress Report (COM (2017) 57 final) adopted on 1/2/2017 
(****) Eurostat SHARES Survey 

Specific objectives 

Specific Objective 1: Removing bottlenecks, enhancing rail interoperability, bridging  missing links, and improving cross-border 
sections 
Indicator 1: The number of new or improved cross-border connections 

Baseline 
2013 
Number of bottlenecks on cross-
border connections (new or 
improved) which are expected to be 
addressed by the actions for which 
CEF grants were awarded. The 
bottleneck is considered to have 
been addressed in the year during 
which the action was/will be 
completed. Results are cumulated 
over the years. 
Baseline = 0 
Estimated total private, public or 
public-private partnership investment 
(i.e. eligible costs) triggered by CEF 
funding in a given year for actions 
achieving this indicator (expressed in 
EUR million). Costs are cumulated 
over the years 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Milestones foreseen 

Target end of 
Programme 

1 

9 

27 

67 

0 

0 

0 

236.8 

447.3 

1,220.9 

3,174.4 

6,556.1 

11,124.7 

15,870.1 

77 

Total estimated 
investment: 
16,918.7 

Source INEA: Actual results correspond to successfully addressed bottlenecks by closed actions. Foreseen milestones are expected results by still 
ongoing actions.  The data on estimated investment (i.e. eligible costs) triggered by CEF funding only cover the actions funded by CEF grants and 
not the entire TEN-T network, to the financing of which various other actors (including Member States, structural funds and private sector) 
contribute. For this indicator, the estimated CEF Funding corresponds to 46% of the total estimated investment (i.e. EUR 7.8 billion). 
Indicator 2: Km of lines in service equipped with the European Railway Traffic Management System (ERTMS), linked to TEN-T 

Baseline 
2013 
Km of track-side to be equipped 
with ERTMS through actions 
funded by CEF grants (double-track 
equivalent). The entry into service 
is attributed to the year in which the 
CEF funded action is expected to be 
fully completed. Results are cumulated 
over the years 
Nearly 5000 km of lines are in 
operation* 
Estimated total private, public or 
public-private partnership investment 
(i.e. eligible costs) triggered by CEF 
funding in a given year for actions 
achieving this indicator. 
(in EUR million). Costs are cumulated 
over the years 

2014 

2015 

2016 

Milestones foreseen 
2018 

2017 

2019 

2020 

Target end of 
Programme 

1,491 km 

1,795 km 

4,998 km 

Actual results 

6,658 km 

Total estimated 
investment: 
2,085.9 

2.5 

29.5 

100.8 

277.3 

649.3 

1,115.0 

1,601.9 

Source INEA: The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  km  equipped  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions.  The  estimated  investment  (i.e.  eligible  costs)  for  trackside  deployment  of  ERTMS  triggered  by  CEF  funding  is  EUR  2.1  billion 
corresponding to CEF Funding allocated of EUR 1.1 billion. 
According to data prepared by the ERTMS deployment manager (contractors: Ernst & Young and Ineco), by 2016 about 4 129km on the TEN-T 
core network corridors were deployed with ERTMS.) 
*According to the Commission Staff working document on the state of play of the implementation of the ERTMS Deployment Plan (published 
14/2/2014) 
Indicator 3: The number of removed bottlenecks and sections of increased capacity for all modes on core network corridors which 
have received funding from the CEF 

Baseline 
2013 

Number of bottlenecks addressed/to 
be addressed by CEF grants. The 
bottleneck is considered to have 

2014 

2015 

2016 
2 

2017 
10 

2018 
37 

2019 
95 

2020 
217 

Milestones foreseen 

Actual results 

Target end of 
Programme 

265 

160/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

634.8 

1 671.1 

3 842.5 

8 248.2 

15 1338 

23 706.4 

31 864.6 

Total of the currently 
estimated costs: 
35 235.6 

been addressed in the year during 
which the action was/is expected to 
be completed. Results are 
cumulated over the years 
Estimated total private, public or 
public-private partnership 
investment (i.e. eligible costs) 
triggered by CEF funding in a given 
year for actions achieving this 
indicator. (in EUR million). Costs 
are cumulated over the years. 

Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual results correspond to addressed bottlenecks by  closed CEF Transport actions. Foreseen milestones are expected results by  still ongoing 
CEF actions.  The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is  EUR 35.2 billion corresponding to 
CEF Funding allocated of EUR 17.5 billion. 
Indicator 4: The length of the inland waterway network by class in the Union 

Baseline 
2013 
Km by Inland Waterway (IWW) 
class to be upgraded by CEF grants. 
The upgrade is attributed to the year 
in which the CEF funded action is 
expected to be completed. Results 
are cumulated over the years 

95.2% of inland waterways 
Reaching already class IV 
standards. 
Estimated total private, public or 
public-private partnership 
investment (i.e. eligible costs) 
triggered by CEF funding in a given 
year for actions achieving this 
indicator (in EUR million). Costs are 
cumulated over the years 

2014 

2015 

2016 

2018 
111 Km 

2019 

2020 

186 Km  2,376 Km 

Milestones foreseen 
2017 
7 Km 
Actual results 

9.9 

64.0 

212.7 

503.5 

933.9 

1 523.2 

2 701.0 

Target end of 
Programme 

Whole TEN-T inland 
waterways reaching 
class IV standards or 
higher by 2030, 
except where allowed 
by Regulation  
Total number of km: 
2 519 

Total of the currently 
estimated costs: 
2 795.1 

Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  results  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions.  The  estimated  investment  (i.e.  eligible  costs)  triggered  by  CEF  funding  under  this  category  is  EUR  2.8  billion  corresponding  to  CEF 
Funding allocated of EUR 1.1 billion. 
Indicator  5: The  length  of  the  railway  network  in  the  EU-28  upgraded  following  the  requirements  set  out  in  Article  45  (2)  of 
Regulation (EU) No 1315/2013 

Baseline 
2013 

2014 

2015 

2016 

Milestones foreseen 
2017 

2018 

km upgraded by CEF 
grants. The upgrade is 
attributed to the year in 
which the CEF funded 
action has been 
completed. Results are 
cumulated over the years 

Core Network 
railways lengths: 
-Freight only: 
18.073km 
-Passenger only: 
14.674km 
-Mixed lines: 
34.484km 

9 km of 
railway 
line 
adapted 
to the 
European 
nominal 
gauge 
standard 

9 km of 
freight 
lines 

57 km of railway 
line adapted to the 
European nominal 
gauge standard  

201 km of 
railway of fully 
electrified line 
tracks and, as 
far as 
necessary for 
electric train 
operations, 
sidings 

172 km of 
freight lines 

Actual results 

Target end of 
Programme 

Total gauge: 1 494 

Total electrification: 
1 941 

Total Freight: 3 061 

2019 
609 km of 
railway 
line adapted 
to the 
European 
nominal 
gauge 
standard 

2020 

1 169 km of 
railway 
line adapted 
to the 
European 
nominal 
gauge 
standard 

555 km of 
railway of 
fully 
electrified 
line tracks 
and, as 
far as 
necessary 
for electric 
train 
operations, 
sidings 

819 km of 
freight lines 

1 552 km of 
railway of 
fully 
electrified 
line tracks 
and, as, far 
as necessary 
for electric 
train 
operations 
sidings 

2 294 km of 
freight lines 

161/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
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745.7 

340.4 

1 237.5 

Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this indicator (in EUR 
million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions.  The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is  EUR 15.1 billion corresponding to CEF 
Funding allocated of EUR 8.7 billion. 
Indicator 6: Setting up of the core network corridors structures with designation of Coordinators, creation of Corridor Forums and 
approval of work plans 

Total of the currently 
estimated costs: 
15 059.5 

13 237.7 

2 652.9 

5 336.6 

9 106.8 

Baseline 

2014 

2015 

No corridor existing 

Milestones foreseen 
2016 

2017 
3rd Work Plans 
(Compliance & 
Mapping and 
decarbonisation 
and climate 
change 
adaptations) 

2018 

2019 

Target 2020 

4th Work Plans 
by end 2019 

9 core network 
corridors 

Actual results 

1st Work Plans 
agreed (May 
2015) 

2nd Work 
Plans adopted 
and approved 
by all MS 

3rd Work 
Plans adopted 
and approved 
by all MS 

Specific Objective 2: Ensuring sustainable and efficient transport systems in the long run, with a view to preparing for expected 
future transport flows, as well as enabling the decarbonisation of all modes of transport through transition to innovative low-carbon 
and energy-efficient transport technologies, while optimising safety 
Indicator 1: The number of supply points for alternative fuels for vehicles using the TEN-T core network for road transport in the 
EU-28 

Baseline 
2013 
Number of supply points 
for alternative fuels to be 
set-up by CEF grants*. 
Results are cumulated 
over the years 

2014 

2015 

2016 
9 

Milestones foreseen 
2017 
332 
Actual results 

2018 
645 

2019 
1,181 

2020 
3,381 

Target end of 
Programme 

CNG: 196  
LNG: 197 
Hydrogen: 78 
Electric: 3,418 
LPG: 57 
Total: 3,946 

Baseline (2012) data  
Electric public recharging 
points: 29.800 
CNG refuelling stations: 
2.800  
LNG road refuelling 
stations: 23 
Hydrogen refuelling 
stations: 90 
Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this indicator (in EUR 
million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions.  The  estimated  investment  (i.e.  eligible  costs)  triggered  by  CEF  funding  under  this  category  is  EUR  1.2  billion  corresponding  to  CEF 
Funding allocated of EUR 436.8 million. 
*Each  supply  point  is  assumed  to  be  operational  in  the  year  in  which  the  CEF  funded  action  has  been  completed.  A  CEF-funded  action  can 
include several supply points. The number of supply points is attributed to the year when the full action defined in the grant agreement has been 

1 166.9 

1 140.9 

1 022.2 

738.9 

275.8 

44.7 

10.2 

0.3 

162/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Baseline 
2013 
Inland and maritime ports 
to be equipped with 
alternative fuel supply 
points by CEF grants. The 
ports are considered to be 
equipped with supply 
points in the year in which 
the CEF funded action is 
expected to be completed. 
Results are cumulated 
over the years 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

completed (e.g. if a grant stipulates the creation of 100 supply points, the action is only considered as completed in the year when all 100 supply 
points have been set up. All 100 supply points are then attributed to that year, even if most of them had already been set up in previous years). 
Indicator 2: The number of inland and maritime ports of the TEN-T core network equipped with supply points for alternative fuels 
in the EU-28 

2014 

2015 

2016 

Milestones foreseen 
2017 

2018 
Maritime:1 
Inland:4 

Actual results 

2019 
Maritime: 6 
Inland: 5 

2020 
Maritime: 12 
Inland: 8 

Target end of 
Programme 

All 85 maritime ports 
in core network and 
the 54 inland ports in 
core network to be 
equipped by LNG 
refuelling points by 
2020 (maritime 
ports) 
and 2025 (inland 
ports) 

0 

0 

0 

0 

Baseline (2012) Maritime 
LNG supply points: 
1 
Inland Waterway 
LNG supply points: 1 
Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this indicator (in EUR 
million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions. The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is EUR 90.6 million for inland ports and 137 
million for maritime ports corresponding to CEF Funding allocated of EUR 31.9 million EUR 53.5 million respectively. 
The targets also refer to the entire TEN-T network and not just to CEF funded actions. 
Indicator 3: Number of fatalities in road transport accidents 

Maritime 
ports: 
0.7 

Maritime 
ports: 
4.9 

Maritime 
ports: 
113.9 

Maritime 
ports: 
13.0 

Maritime 
ports: 
45.0 

Maritime 
ports: 
90.8 

Maritime 
ports: 
133.6 

Total Inland: 
90.6 

Inland  
ports: 
1.6 

Inland  
ports: 
20.4 

Inland 
ports:  
90.1 

Inland 
ports: 
66.4 

Inland 
ports: 
49.7 

Total Maritime: 137 

Baseline 
2010 

31 500 (EU 28) 

Milestones foreseen 

2014 

2015 

2016 

2017 
Ca. 19.000 

Actual results 

* Preliminary report. Source: CARE. CEF is not directly contributing to this target. 

26000 

26100 

25 600* 

2018 

2019 

Target 2020 

Max 15 750 (EU 28) 

Specific Objective 3: Optimising the integration and interconnection of transport modes and enhancing interoperability of transport 
services, while ensuring the accessibility of transport infrastructures 
Indicator  1: The  number  of  multimodal  logistic  platforms,  including  inland  and  maritime  ports  and  airports,  connected  to  the 
railway network 
Baseline 

Milestones foreseen 
2017 
2 
(1 inland 
port and 1 
maritime 
port) 
Actual results 

2018 
4 
(3 inland 
Port and 1 
maritime 
port) 

2019 
10 
(4 inland 
port and 6 
maritime 
port) 

2020 
13 
(5 inland port 
and 8 
maritime 
ports) 

2014 

2015 

2016 

0 

0 

0 

Airports, inland ports and 
maritime ports to be 
connected to the rail 
network (new or 
improved) by CEF grants. 
The connections are 
considered to have been 
realised in the year in 
which the CEF funded 
action is expected to be 
completed. 

Baseline 2012: 

Target end of 
Programme 
For entire TEN-T 
network: 54 
(improved) 
connections of 
maritime ports by 
2020  
24 (improved) 
connections of 
airports by 2020 
All core maritime 
ports connected by 
2030 
38 core airports 
connected by 2050  

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Financed by CEF  
grants by 2020:  
13 multimodal 
logistic platforms (5  
inland and 8 
maritime port 
connections) 

4.2 

6.2 

Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this indicator  (in EUR 
million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions. The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is EUR 168.4 million corresponding to CEF 
Funding allocated of EUR 54.3 million. 
Indicator 2: The number of improved rail-road terminals 

Total of the currently 
estimated costs: 
168.4 

153.3 

128.9 

168.4 

29.5 

85.5 

Baseline 

2014 

2015 

2016 

Milestones foreseen 
2017 

2018 
1 

2019 
4 

2020 
8 

Target end of 
Programme 

0 

0 

0 

0 

Actual results 

By 2020, CEF grants 
are expected to have 
financed 7 improved 
rail-road terminals 
and one new rail-road 
terminal 

Rail road terminals to be 
connected to the rail 
network (new or 
improved) by CEF grants. 
The terminals are 
considered to have bene 
realised in the year in 
which the CEF funded 
action is expected to be 
completed. Results are 
cumulated over the year 
Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this this indicator (in EUR 
million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions. The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is EUR 137.1 million corresponding to CEF 
Funding allocated of EUR 39.5 million. 
Indicator 3: Number of improved or new connections between ports through motorways of the sea 

Total of the currently 
estimated costs: 
137.1 

134.8 

107.6 

137.1 

19.1 

65.7 

0.3 

0.6 

Baseline 

Number of connections 
to be improved or newly 
created by CEF grants. 
The connections are 
considered to be realised 
in the year in which the 
CEF funded action is due 
to be completed. Results 
are cumulated over the 
years. 
Estimated total private, 
public or public-private 
partnership investment (i.e. 
eligible costs) triggered by 
CEF funding in a given 
year for actions achieving 
this indicator (expressed in 

2014 

2015 

2016 
4 

Milestones foreseen 
2017 
13 
Actual results 

2018 
17 

2019 
24 

2020 
28 

0 

0 

44.4 

151.4 

257.3 

405.1 

579.7 

667.0 

691.9 

Target end of 
Programme 

By 2020, CEF 
grants are expected 
to have financed 29 
improved or new 
connections 
between ports and 
MOS 

Total of the currently 
estimated costs: 
693.5 

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EUR million). Costs are 
cumulated over the years. 
Source INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions. The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is EUR 693.5 million corresponding to CEF 
Funding allocated of EUR 209.5 million. 

Indicator 4: The number of kilometres of inland waterways fitted with RIS 
Milestones foreseen 

Baseline 

2014 

2015 

2016 

2017 
570 km 
Actual results 

2018 
757 km 

2019 
847 km 

2020 

KM of IWW fitted with 
RIS by CEF grants. 
Results are attributed to 
the year in which the 
CEF funding action is 
due to be completed. 
Results are cumulated 
over the years 

Target end of 
Programme 
Full coverage with 
ENC for Class Va+ 
waterways  
(10500km) 2020: full 
coverage of class Va+ 
waterways equipped 
with shore based 
inland AIS 
infrastructure 
(10500km); 
All commercial 
vessels equipped with 
inland AIS (app. 
12000vessels) 
Electronic reporting 
fully operational for 
BtA and AtA 
Communication 847 
km expected to have 
been financed by CEF 
grants by 2020 

0.8 

0.01 

Estimated total private, 
public or public-private 
partnership investment 
(i.e. eligible costs) 
triggered by CEF funding 
in a given year for actions 
achieving this indicator 
(expressed in EUR 
million). Costs are 
cumulated over the years. 
Sources: INEA. The data only covers the actions funded by CEF grants and not the entire TEN-T network, to the financing of which various other 
actors (including Member States, structural funds and private sector) contribute. 
Actual  results  correspond  to  result  achieved  by  closed  CEF  Transport  actions.  Foreseen  milestones  are  expected  results  by  still  ongoing  CEF 
actions. The estimated investment (i.e. eligible costs) triggered by CEF funding under this category is EUR 22.9 million corresponding to CEF 
Funding allocated of EUR12.4 million. 
Indicator 5: Synchronisation of the deployment process of SESAR related technology 

16.9 

22.9 

22.9 

22.8 

22.9 

6.3 

Baseline 

The SESAR 
development 
phase is 
delivering 
essential ATM 
solutions that 
require a 
synchronised 
deployment in 
the European 
ATM network. 
A SESAR 
deployment 
framework was 
established in 
2013 (Reg. 
(EU)409/2013) 
to ensure the 

2014 

2015 

2016 

2017 

2018 

Milestones foreseen 

2019 

Target end of 
Programme 

- Approval of 
revised 
Deploym. 
programme 
- Awarding of 
grants to SESAR 
implementation 
projects 

- Approval of 
revised 
Deployment 
programme 
- Awarding of 
grants to of 
SESAR 
implementation 
projects 

- Approval of 
revised 
Deployment 
programme 
- Awarding of 
grants to SESAR 
implementation 
projects 

- Adoption ofthe 
first common 
project 
- appointment of 
the SESAR 
Deployment 
Manager by the 
Commission 
- First CEF call 
for proposals for 
SESAR 
implementation 
projects 

- Awarding of 
grants to second 
batch of SESAR 
implementation 
projects 
- Approval of 
revised 
Deploym. 
programme 
- Specific grant 
agreement with 
the Deployment 
Manager 

- Awarding of 
grants to first 
batch SESAR 
implementation 
projects 
- CEF call for 
proposals 
(General& 
cohesion 
envelops) for 
SESAR 
implementation 
projects 
- Specific grant 
agreement with 
the Deployment 
Manager 

- Pilot common 
project adopted 

- Deployment 
Manager 

- Deployment 
Manager 

Actual results 

Deployment of 
SESAR ATM 
solutions 
included in the 
Pilot Common 
Project 

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(Reg. 
(EU)716/2014) 
- Deployment 
Manager 
appointed on 
5/12/2014 
- CEF Call 
launched 9/2014 

timely and 
synchronised 
deployment of 
SESAR 
Solutions. The 
framework and 
its instruments 
shall be set up 
and activated 
throughout the 
2014-2020 
timeframe 

coordinates 
proposals under 
2014 CEF call 
- EUR 318 
million awarded 
from CEF to 
SESAR 
implementation 
projects 
- SGA signed 
with the 
Deployment 
Manager 
- CEF Call for 
proposals 
launched on 
11/9/2015 

coordinates 
proposals under 
2015 CEF call 
- additional EUR 
525 million 
awarded from 
CEF to SESAR 
implementation 
projects 
- Approval of the 
2015 Edition of 
the Deployment 
Programme on 
11/04/2016 
- 2nd and 3rd 
Specific Grant 
Agreement 
signed with the 
Deployment 
Manager 

Indicator number 5 as foreseen by article 4.2 (c) (iv) of the CEF Regulation has been divided in three table to facilitate reading by sector. 
Work is undertaken to complement by 2017 this indicator with a numerical indicator corresponding to the percentage of "SESAR ATM solutions 
(included in the Pilot Common Project) deployed", based on the reported progress by the implementing stakeholders of the SESAR Deployment 
Programme. 
Indicator  6: Kilometres  of  roads  covered  by  (real-time)  Traffic  Information  Services  or  equipped  for  (dynamic)  Traffic 
Management, including speed related ITS services (Variable Message Signs or equivalent means) 
Justification:  DG  MOVE  has  been  working  with  Member  States  over  the  past  two  year  to  identify  new  KPIs  for  ITS.  An  external  study  was 
conducted to identify the most promising KPIs, followed by consultations with Member States' experts and discussion in the ITS Committee in 
2016, to finalise a list of deployment and benefit KPIs, as well as financial indicators. A list of KPIs has been drawn up, which Member States 
will be asked to use in their reporting exercise under the ITS Directive. Next reporting by Member States is due by the end of August 2017.  

NOTE:  many  Member  States  are  already  making  wide  use  of  ITS  solutions  to  support  increased  road  safety,  more  efficient  road  traffic 
management  and  more  sustainable  travel  behaviours.  Most  Member  States  have  started  the  preparatory  work  to  implement  the  delegated  acts 
under the ITS directive. The deadlines to report on the implementation of the already adopted delegated regulations were 24 December 2015 for 
eCall and October 2015 for safe & secure truck parking and road safety related applications. However, few Member States have respected these 
reporting  obligations.  The  issue  was  addressed  at  the  ITS  Committee  in  March  2016  in  order  to  follow  up  with  Member  States  on  their 
performance 
Indicator 7: The level of deployment of VTMIS 

Baseline 
2013 

2014 

AIS (Automatic 
Identification System) 
positions recorded per 
month: about 100 000 
000 

2015 
2015: nearly all 
commercial vessels 
equipped with inland AIS 
(app. 11.750 vessels) 

Milestones foreseen 

2016 

2017 

2018 

2019 

Target 2020 

VTMIS 
Increase by 
10% 

Actual results 

VTMIS: 
Increase by 20% 

Source: PLATINA 7RFP research project. 
Justification: Indicator number 7 as foreseen by article 4.2 (c) (iv) of the CEF Regulation has been divided in three table to  facilitate reading by 
sector. This indicator is no longer relevant. It confuses AIS and VTMIS. AIS is stipulated in the VTMIS Directive in two main ways – Carrier 
requirement (implementing the IMO requirements) and receiver requirements. The latter has been fulfilled for years as all MS with a coast have 
set up receivers and hence coverage along the EU coasts. The carrier requirements of AIS is based on the level of new vessels entering the market 
and sailing on EU ports. This in turn depends on overall economic factors and the world economy (imports/exports). For the moment there is a 
stagnation in new vessels entering the market due to the economic downturn. VTMIS use, meaning the use of the Integrated Maritime Services 
and the 2 new reporting messages into the system, Security and Waste, apart from the already required Port plus message, has brought about an 
increase in the use of the reporting going into the system, probably exceeding 10%. 
In the future, the indicator could be changed into the use of the National Single Windows in MS. 

Expenditure related outputs 
In order to align the reporting on the expenditure-related outputs between Transport, Energy and Telecommunications, the outputs 
have  been  defined  as  "grants  awarded"  or  "expected  to  be  awarded"  per  budget  line.  Reporting  for  the  forthcoming  year  on  a 
specific  priority/  project  is  approximate,  as  the  grant  agreements  are  allocated  based  on  the  competitive  selection  and  award 
procedure.  The amounts are already allocated on the multi-annual basis to the specific projects, they are reported in this table as 
"grants awarded". The number related to the annual work programme (AWP) for financial instruments corresponds to the expected 
number of operations that the appropriations available under the AWP could support. 

Outputs 

Budget line 

Draft Budget 2019 

Number (foreseen) 

EUR 

Allocation  to  the  grants  from  the  2014-2018  call  for  proposals  under 
Multi Annual Working Programme Transport 
Allocation to the grants from the 2014-2018 call for proposals 
under Multi Annual Working Programme Transport 

06 02 01 01 

06 02 01 02 

87 

41 

1,985,123,007 

145,485,963 

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Outputs 

Budget line 

Draft Budget 2019 

Number (foreseen) 

EUR 

Allocation to the grants from the 2014-2018 call for proposals 
under Multi Annual Working Programme Transport 
Allocation to the grants from the 2014-2018 call for proposals 
under Multi Annual Working Programme Transport 
Allocation to the Financial Instruments projects 
Programme Support Actions 2018 (all lines) Art 5(2)(a) in the Multi annual Work 
Programme 
Total 

06 02 01 03 

06 02 01 04 

06 02 01 05* 

102 

155 

307,687,603 

1,694,390,494 

Outputs 

2014 

First call for proposals (2014) under Multi 
Annual and Annual Work Programmes for 
Transport C(2014) 1919 and C(2014) 1921: 
number of grant agreements signed 
Second call for proposals (2015) under the 
Multi Annual Work Programme C(2014) 1921 
as amended: number of grant agreements 
signed 
Third call for proposals under the Annual and 
Multi Annual Work Programmes C(2016) 6380 
and C(2014) 1921 as amended: expected 
number of grant agreements 
Annual call 2016 under the Annual Work 
Programme C(2016) 1778: transport- energy 
synergy call 

Annual Call 2016 

Annual Call 2016 Rail Noise 

Annual instalment to the Financial Instruments 
Work Programme 2014 
Annual instalment to the Financial Instruments 
Work Programme 2015 
Annual instalment to the Financial Instruments 
Work Programme 2016 

Multi Annual Call 2017 Blending - 1 

Multi Annual Call 2017 Blending - 2 

Multi Annual Call 2017 SESAR 

Multi Annual Call 2018 

F 

P 

F 

P 

F 

P 

F 

P 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2019 

2015 

2020 

263 grants 
agreements 
singed  

189  

1** 

0 

130 

121 

8 

7 

45 
28 

2 

39 

47 

19 

84 

*An  output  is  a  call  for  proposals  under  a  multi-annual  work  programme  (MAWP)  for  grants  or  an  annual  work  programme  for  financial 
instruments. "Number" corresponds to the foreseen number of grants (for studies and for works) to be attributed following evaluation of a call for 
proposals. 
* The total number of grants for the Synergy Call cannot be split between transport and energy. The total is therefore reported under both sectors.  
** Financial Instruments, the first Green Shipping Guarantee was signed in 2016. The payment to the EIB of EUR 37.5 million was made based 
from 2014 open committed amount. EIB has presented a provisional pipeline for additional transactions to be signed in 2017. 

Financial Programming for Transport: 
The Commission has adopted the Multi Annual Work Programme in the field of Transport C(2017)164 of 20 January 2017. On a 
multi-annual basis, EUR 1 billion of funds is transferred from the Financial Instruments of the CEF to grants. The objective is to 
support economically viable projects with financing from the European Fund for Strategic Investments and other private finance 
and to enhance the financial viability of projects. 

The implementation of the CEF Financial Instruments through the CEF Debt Delegation Agreement with the European Investment 
Bank is slower than was foreseen at the outset of the Programme, due to the fact that some of the revenue-generating projects have 
been signed under the framework of the EFSI funds. 

CEF ENERGY 
General remark on indicators related to the specific objective 4 to 6 

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For specific objective 4 to 6, it is to be noted that the initial list of 248 energy infrastructure projects that are of common interest 
(Projects of Common Interest (PCIs)) is updated every two years and the selection of PCIs is an on-going process in order to cater 
for  emerging  projects  geared  to  fulfil  future  needs.  It  is  therefore  of  prime  importance  to  indicate  to  which  edition  of  the 
listindicator  values  refer  to.  The  third  list  of  PCIs  has  been  adopted  by  the  Commission  in  November  2017  (the  Commission 
Delegated Regulation shall enter into force around 20 April 2018, provided the European Parliament does not object to the 3rd list 
by the scrutiny deadline of 27 March 2018) and it comprises now 173 PCIs, of which 106 in the electricity sector and 53 in gas, six 
oil projects, four smart grids deployment projects, and four cross-border carbon dioxide network projects. Out of the second list, 4 
have been already commissioned in 2016 and 8 are commissioned in 2017. Approximately 30 energy PCIs have been completed or 
will be in operation by the end of 2018. Another 47 important projects are scheduled to be completed around 2020. The adoption of 
the fourth list of PCIs is foreseen by the end of 2019. PCIs are subject to yearly monitoring by national competent authorities and 
ACER  pursuant  to  Art.  5  of  the  TEN-E  Regulation  (347/2013).  This  allows  the  Commission  to  monitor  the  PCIs  progress  to 
implementation. The cost-benefit analysis of the PCIs is subject to the methodology whose principles are set out in Annex V of the 
TEN-E  Regulation.  The  combined  approach  creating  the  link  between  each  element  of  that  analysis  and  the  specific  criteria  is 
established in the methodology for an energy system wide cost-benefit analysis (CBA) for gas and electricity of the ENTSOs. The 
CBA was approved by the Commission on 4 February 2015 (Commission Decision C(2015) 533) and was applied in the selection 
of  projects  for  the  updated  list  of  PCIs.  The  indicators  related  to  the  specific  objectives  for  CEF  Energy  as  set  out  in  the  CEF 
Regulation partly are based on the Annex V of the TEN-E Regulation. However, in addition to the data of the CBAs for each PCI, 
external data are needed to determine the indicators for the CEF Programme Statements as they are currently defined. 

As explained below in more detail, it is suggested to discontinue the following indicators: 4 and 5 under specific objective 
(SO)  4  and  6  under  SO  5.  Indicator  2  under  SO  5  should  be  made  more  specific  and  indicator  3  under  SO  6  should  be 
modified. 
Specific  Objective  4: Increasing  competitiveness  by  promoting  the  further  integration  of  the  internal  energy  market  and  the 
interoperability of electricity and gas networks across borders 
Indicator 1: The number of projects effectively interconnecting Member States' networks and removing internal constraints 

Baseline 

In 2015: 108 PCIs in 
electricity and 
77 in gas 

2014 

2015 

2016 

2017 

Milestones foreseen 

Actual results 

12 

2018 
30* 

2019 

Target 2020 

91 

* due to be commissioned by the end of 2018 
Indicator 2: The reduction or elimination of Member States' energy isolation 
Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

The indicator refers to 
the number of PCIs 
contributing to the 
objective still to be 
commissioned Baseline 
2013 

9 

Actual results 

9 

9 

8 

6 (Cyprus, Malta still 
isolated) 

NOTE: Indicators 1 and 2 are based on the number of PCIs effectively contributing to the specific objectives. These can be monitored during the 
Programme implementation on the basis of formal monitoring requirements for PCIs set out in the TEN-E Regulation (Art. 5, monitoring and 
implementation). Although their evolution is only partly related to the CEF budget, these two indicators can be kept until the end of the 
Programme and also be used ex-post. 
Indicator 3: The percentage of electricity cross-border transmission power in relation to installed electricity generation capacity in 
the relevant Member States 
Baseline 
2012 

Milestones foreseen 

Target 2020 

2016 

2015 

2017 

2019 

2014 
16 

2018 
17 

16 

17 

Actual result*s 

17 

22 (Cyprus, Spain, Italy, 
Poland, Romania and 
Bulgaria remain below 
target) 

*By 2020, with the impact of PCIs, Portugal, Ireland, Germany, France and the United Kingdom will have reached the 10% electricity 
interconnectivity target.(Reference: ENTSO-E final Winter-Outlook_2016-17 for 2018 data; target 2020 "Evaluation of the impact of PCIs" study. 
NOTE: Indicator 3 lists the Member States which are below the 10% interconnectivity target as mentioned in Recital 2 of the TEN-E Regulation. 
Although its evolution is only partly related to the CEF budget, this indicator can be kept and monitored during the programme implementation. It 
measures the ratio of the cross-border transmission capacity and the installed generation capacity in a Member State. It can also be used ex-post. 
Indicator 4: Price convergence in the gas and/or electricity markets of the Member States concerned 
Justification: In the indicator screening exercise carried out in 2017, this indicator has been ranked low by DG ENER in terms of 
relevance  to  the  budget,  relevance  to  the  programme,  results  and  data  accessibility.  For  example,  price  convergence  in  the 
electricity or gas sector is not only determined by the level of cross-border capacity changes but also by market design issues for 
electricity  whereas  for  gas  it  depends  on  diversification  and  access  to  liquid  markets  as  well  as  on  third-party  access  to  major  
pipelines . Moreover the contribution of each specific project cannot be singled out without in-depth network modelling analysis. It 
is therefore proposed to discontinue this indicator. 

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Indicator  5: The  percentage  of  the  highest  peak  demand  of  the  two  Member  States  concerned  covered  by  reversible  flow 
interconnections for gas 
Justification: In the  indicator screening exercise carried out in 2017, DG ENER has expressed that  this indicator relates  more to 
security  of  supply  and  in  addition  is  extremely  difficult  to  measure.  Notably  the  indicator  in  its  current  definition  is  not  smart 
enough, as it lacks precision, is severely affected by seasonal changes in gas demand and would need to be applied to more than 
one pair of Member States, thereby resulting in many different values. It is therefore proposed to discontinue this indicator. 

Expenditure related outputs 
See table under specific objective 6 

Specific Objective 5: Enhancing Union security of energy supply 
Indicator 1: The number of projects allowing diversification of supply sources, supplying counterparts and routes 

Baseline 

Milestones foreseen 

Number of countries having 3 
major supply sources of gas 
for the EU in addition to 
liquefied natural gas (LNG) 

2014 

2015 

2016 

Actual results 

2018 
38* 

2017 
40* 

40 

2019 

Target 2020 

11 

(*)(*)  16  Member  States  still  have  fewer  than  3  major  gas  supply  sources.  38  PCIs  supporting  EU's  security  of  supply  are  still  to  be 
commissioned.  NOTE:  By  2020 most  Member  States  will  cover  the  policy  objective  of  diversification,  having  at  least  three  sources  of  supply 
including LNG. The Danish and Swedish markets, that appear to have two sources in 2020, are well interconnected with the rest of the European 
grid and could secure supplies from additional sources. In the case of the Finnish, Cypriot and Maltese markets, PCIs would end their isolation 
and  provide  sufficient  security  supply,  but  not  allow  the  policy  objective  to  be  fully  met  (reference:  "Evaluation  of  the  impact  of  PCIs"  study 
commissioned by DG ENER, 2016). Indicator 1 refers to the number of PCIs still to be commissioned supporting the objectives. The indicator can 
be monitored during the Programme implementation; it can be kept until the end of the Programme and it can also be used ex- post. 
Indicator 2: The number of projects increasing storage capacity 

Baseline 
2013 

7 PCIs 

2014 

2015 

Milestones foreseen 

2016 
6 
Actual results 

2017 
6 

6 

2018 
6 

2019 
4 

Target 2020 

2** 

(*) 6 PCIs in gas underground storage: actual reference 2017 is the 2nd PCI list. (PCIs to be commissioned) 
(**)2 storage projects expected to be commissioned NOTE: Indicator 2 refers to natural gas storage only. Although its evolution is only partly 
related to the CEF budget, the indicator can be monitored during the programme implementation on the basis of the formal monitoring 
requirements for PCIs set out in the TEN-E Regulation (Art. 5, monitoring and implementation). The indicator can be also used ex-post. 

Indicator 3: System resilience, taking into account the number of supply disruptions and their duration 

Baseline 

Gas: 3 MS do not meet the 
N-1 formula (as defined in 
Regulation (EU) No 
994/2010) – Bulgaria, 
Greece and Portugal 

2014 

2015 

21 

Milestones foreseen 

2016 

2017 

Actual results 

20 

2019 

2018 
Gas: N-1 is 
met by EU- 22 

Target 2020 

Gas: N-1 is met by 23 MS (all 
except Cyprus, Malta as long as 
they do not have gas system and 
Luxemburg, Slovenia, Sweden 
which have a derogation) 

NOTE: The indicator is based on monitoring requirements set out in Regulation 994/2010 on the security of supply for gas, under which Member 
States have to report every two years to the Commission (last report: 2016) The progress of the indicator is based on PCIs which are implemented. 
Although its evolution is only partly related to the CEF budget, it can be  monitored during the Programme implementation and can be kept until 
the end of the Programme. It can also be used ex-post. 
Indicator 4: The amount of avoided curtailment of renewable energy 
Justification: Indicator to contribute to the specific objective 6 only, not relevant for specific objective 5.The indicator should be 
discontinued under the specific objective 5, but kept under the specific objective 6. 
Indicator 5: The connection of isolated markets to more diversified supply sources 

Baseline 
2013 

19* 

Milestones foreseen 

2014 

2015 

2016 

Actual results 

2018 
23 

2017 
22 

23 

2019 

Target 2020 

26 

(*)  The  indicator  measures  the  number  of  Member  States  having  access  to  at  least  two  sources  of  gas  is  based  on  the  interconnectivity  level 
estimation  by  ENTSO-G.  NOTE:  The  progress  of  the  indicator  is  related  to  the  number  of  PCIs  actually  being  implemented  i  which  allow 
diversification  of  supply  sources.  Although  its  evolution  is  only  partly  related  to  the  CEF  budget,  the  indicator  can  be  monitored  during  the 
Programme implementation and it can be kept until the end of the Programme. It can also be used ex-post. 

Indicator 6: The optimal use of energy infrastructure assets 
Justification: Indicator 6 is a “meta-level” indicator and it is not smartly defined to refer to the policy objectives of the TEN-E 
Regulation, as it is being affected also by market design issues. Additionally, there is no definition of what is “optimal use”, which 

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anyway will be seen differently for electricity and gas infrastructure. It is therefore proposed to be discontinued. 

Specific  Objective  6: Contributing  to  sustainable  development  and  protection  of  the  environment,  by  the  integration  of  energy 
from  renewable  sources  into  the  transmission  network  and  by  the  development  of  smart  energy  networks  and  carbon  dioxide 
networks 
Indicator 1: The amount of renewable electricity transmitted from generation to major consumption centres and storage sites 

Baseline 

(*) 

2014 

2015 

Milestones foreseen 
2017 
(*) 

2016 

Actual results 

N/A 

2018 
N/A 

2019 

Target 2020 

Approx. 90GWh(*) 

(*)Data have been extracted on the basis of modelling results available in the European Network of Transmission System Operators for Electricity 
(ENTSOe) in the context of the Ten-Year Network Development Plan (TYNDP) 2016 (indicator B3 of the ENTSO-E cost benefit analysis). This 
indicator provides a standalone value associated with additional RES available for the system. It  measures together the reduction of renewable 
generation  curtailment  in  MWh  (avoided  spillage)  and  the  additional  amount  of  RES  generation  that  is  connected  by  the  project.  The  value 
represents an estimation of contribution to the indicator by the PCIs financed under CEF in the electricity sector, which will be commissioned 
until 2020 (14 PCIs). 
NOTE: Indicator 1 can be kept as for the Programme implementation but it is based on network modelling analysis rather than on actual progress 
of PCIs for which no intermediate data over the years are available (only 2020). It can only be measured ex-post. 
Indicator 2: The amount of avoided curtailment of renewable energy 

Baseline 

(*) 

Milestones foreseen 

2014 

2015 

2016 

Actual results 

2018 

N/A 

2019 

2017 

(*) 

N/A 

Target 2020(MWh of 
curtailed RES 
electricity) 
Approx.70GWh 
(contribution of 33 
PCIs) 

*Data available in the ENTSOeTYNDP 2016.Projections relate to 2020 scenarios. Countries affected by curtailment are the following: IE, DE, 
ES, IT, PT, RO. It can be expected that around 33 Electricity PCIs which will enter into operation by 2020 in these countries will contribute to the 
target. NOTE: Indicator 2 can be kept as for the Programme implementation but it has a number of limitations, as it is based on network modelling 
analysis rather than on actual progress of PCIs for which no intermediate data over the years are available. It can only be measured ex-post. 
Indicator 3: The number of deployed smart grid projects which benefited from the CEF and the demand response enabled by them 

Baseline 

2013: 2 smart grids 
projects 

2014 

2015 

Milestones foreseen 

2016 

2017 

Actual results 

1 

2018 
1 

2019 

Target 2020 

1 projects to be 
commissioned 

(*) There are 4 projects on the second Union list of PCIs. One action related to one PCI (SINCRO.GRID PCI) received funding under the CEF 
2ndcall for proposals 2016. NOTE: Indicator 3 must be changed. The demand response enabled by smart grid projects can be measured only ex- 
post and should not be mixed up with the number of PCIs supported by CEF. This part of the indicator should therefore be discontinued. The 
number of smart grid projects supported by CEF, and that will be commissioned by 2020 can be monitored during the Programme implementation 
and can be kept until the end of the Programme. It can also be used ex-post 
Indicator 4: The amount of CO2 emissions prevented by the projects which benefited from the CEF 

Baseline 

(*) 

Milestones foreseen 

2014 

2015 

2016 

Actual results 

2017 
(*) 

N/A 

2018 
N/A 

2019 

Target 2020 

Approx 5000 
kT/year (*) 

*The indicator reflects the characterisation of the evolution of CO2 emissions in the power system,  as a consequence of the renewable  energy 
which is integrated by means of the PCIs. The values have been calculated on the basis of the ENTSO-E TYNDP 2016 (indicator B5 of ENTSO-E 
cost benefit analysis, scenario 2020). The data represent the contribution to the indicator by the PCIs financed under CEF in the electricity sector 
which will be commissioned until 2020 (14 PCIs). 5000 kT/year represents 47.17% of expected CO2 emissions prevented by all electricity PCIs 
commissioned until 2020. The indicator does not take into account other sectors, like gas. NOTE: Indicator 4 can be kept as for the Programme 
implementation but it is based on network modelling analysis rather than on actual progress of PCIs for which no intermediate data over the years 
are available (only 2020). It can only be measured ex-post. 
Expenditure related outputs 

Outputs 

Allocation to the grants from the 2014-2018 call for proposals under Multi Annual 
Work Programme for Energy 
Allocation to the grants from the 2014-2018 call for proposals under Multi Annual 
Work Programme for Energy 
Allocation to the grants from the 2014-2018 call for proposals under Multi Annual 
Work Programme for Energy  
Allocation to the Financial Instruments projects 
Programme Support Actions 2018 (all lines) Art 5(2)(a) 
Total 

Budget line 

32 02 01 01 

32 02 01 02 

32 02 01 03 

32 02 01 04 

Draft Budget 2019 

Number (foreseen) 
15 

EUR 

100,693,577 

15 

15 

91,396,413 

91,396,413 

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2015 
50 
34 
15 
20 

Outputs 

2014 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2019 

2020 

30 
15 
20 
9 

Call  for  proposals  under  MAWP  CEF-Energy 
2014-2020 
First  call  for  proposals  under  MAWP  CEF-
Energy 2015-2020 
Second  call  for  proposals  under  MAWP  CEF-
Energy 2015-2020 
First  call  for  proposals  under  MAWP  CEF-
Energy 2016-2020 
Second  call  for  proposals  under  MAWP  CEF-
Energy 2016-2020 
Call  for  proposals  under  MAWP  CEF-Energy 
2017-2020 
Call  for  proposals  under  MAWP  CEF-Energy 
2018-2020 
Annual  work  programmes 
instruments 2014, 2015, 2016  
Call  for  proposals  under  the  AWP  2016  for 
synergy in energy and transport 
Annual  work 
programme 
instruments 2017  
*An  output  is  a  call  for  proposals  under  a  multi-annual  work  programme  (MAWP)  for  grants  or  an  annual  work  programme  for  financial 
instruments. "Number" corresponds to the foreseen number of grants (for studies and for works) to be attributed following evaluation of a call for 
proposals.  
* The total number of grants for the Synergy Call cannot be split between transport and energy. The total is therefore reported under both sectors. 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

8 
7 
4 
pm 

18 
18 
25 
17 

financial 

financial 

5 
pm 

for 

for 

53 

Specific Objective 7: To contribute to the interoperability, connectivity, sustainable deployment, operation and upgrading of trans-
European digital service infrastructures and coordination at European level 
Indicator 1: Facilitating digital interaction between public administration and citizens/ businesses 

Baseline 2011 

2014 

2015 

2016 

2017 

Milestones foreseen 

48.9%of citizens using 
public service on-line221 

75.7% of businesses using 
public services on-line222 

56.9% of 
citizens  

57% of  
citizens  

59.7% 
of citizens 

58.5% 
of citizens  

Actual results 

2018 
50% of 
citizens 
85% of 
businesses 

2019 

Target 2020 

70% of citizens using 
public services on-
line 

100% of businesses 
using public services 
on-line 

Indicator 2: Availability of cross-border public services 

Baseline 

n/a 

2014 

Milestones foreseen 
2016 

2017 

2015 

46,6% 

73%  

Actual results 

Awaiting 
updated data 
from 
EUROSTAT  

2018 
80% 

2019 

Target 2020 

100% of the cross-border public 
services as laid out in the Regulation 
(EU) 283/2014 on the guidelines for 
trans-European networks in the area of 
telecommunications infrastructure 

Expenditure related outputs 

Outputs 

Digital service infrastructures developed and deployed across Europe 
Total 

Budget line 

09 03 03 

Draft Budget 2019 

Number 

16 
16 

Outputs 

2014 

1  Digital  service  infrastructures  developed  and 
deployed across Europe with the support of CEF 
The outputs refer to the cumulative number of Digital Service Infrastructures that are being supported. Support can take the form of 
procurement, when it concerns the core service platforms, or of grants when it concerns generic services. 

8 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
14 
14 

2016 
14 
14 

2018 
16 

2015 
11 
11 

2019 
16 

EUR 

109 055 689 
109 055 689 

2020 

221 % of internet users needing to submit forms to the public administrations who chose the online channel (Source: Digital Agenda Scoreboard / Europe's Digital 
Progress Report 2016)  
222 The monitoring of this indicator has been discontinued 

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Specific  Objective  8: To  contribute  to  the  efficient  flow  of  private  and  public  investments  to  stimulate  the  deployment  and 
modernisation of broadband networks 
Indicator 1: Level of fast broadband coverage (e30 Mbs) 
NA (no expenditure due to early stages of implementation) 
Indicator 2: Level of subscription to broadband connections above 100 Mbs 
Expenditure related outputs  
NA (no expenditure due to early stages of implementation) 

Justification of changes to the financial programming and/or to the performance information 
No expenditure was generated so far, which led to various rounds of corrections in the payment appropriations. These were due to 
the innovative nature and structure of the instrument and to the complex negotiations among the anchor investors in the fund, which 
led to the repeated delays of its commercial launch.    

Specific  Objective  9: Encourage  and  support  entities  with  a  public  mission,  such  as  local  public  authorities,  to  offer  free  Wi-Fi 
connectivity in the centres of community life (e.g. in and around public buildings, health centres, parks or town squares) 
Indicator 1: The number of operational free Wi-Fi access points supported by CEF 
Indicator 2: The number of daily connections generated on free Wi-Fi access points supported by CEF in a given year 

Expenditure related outputs -NA (no expenditure due to early stages of implementation)  

5. Programme contribution to the Sustainable Development Goals 
The CEF contributes to the Sustainable Development Goal Number 9: Industry, Innovation and Infrastructure - Build resilient 
infrastructure, promote inclusive and sustainable industrialization and foster innovation 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

TRANSPORT On 4 July 2016 the Commission adopted Annual Work Programme  C(2016)1950, amended on 6 December 2016 
by  Decision  C(2016)  7828,  which  provides  for  the  financing  of  projects  of  common  interest  under  the  CEF  Debt  Instrument  by 
means of delegation to the European Investment Bank as entrusted entity. In 2016 the budget allocation to the CEF Debt Instrument 
in the transport sector was EUR 66.35 million, whereas the total 2014 – 2016 allocation in the transport sector accounts for EUR 
206.35 million. 

In  transport,  the  Commission  and  the  European  Investment  Bank  established  a  risk  mechanism,  the  Green  Shipping  Guarantee 
programme,  to support the greening of the EU shipping  fleet and the Motorways of the Sea. The first transaction  was signed in 
2016.The programme will be rolled out under the European Fund for Strategic Investments for a total amount of EUR 750 million, 
which is expected to mobilise EUR 3 billion of investments. 

ENERGY In the energy sector, no project has been financed so far under the CEF Debt Instrument and there was no contribution 
in 2016 to the Financial Instruments Work Programme. 

TELECOM  In  2017  the  Commission  and  the  European  Investment  Bank  completed  their  respective  commitments  to  the 
Connected Europe Broadband Fund, including EUR 100 million from CEF Telecom. The Fund is expected to become operational 
mid-2018, leveraging contributions from the European Investment Bank, three National Promotional Banks  – KfW Bankengruppe 
from  Germany,  Cassa  Depositi  e  Prestiti  from  Italy  and  Caisse  des  Depots  et  Consignations  from  France)  as  well  as  the  private 
sector.  The  Fund  aims  to  raise  around  EUR  500  million  at  first  closing,  and  to  invest  in  equity  and  quasi-equity,  including 
mezzanine and subordinated debt, in some 7 to 12 broadband projects each year from 2018 to 2021. The Fund investments will be 
of  a  size  between  EUR  1  million  and  EUR  30  million,  for  projects  total  costs  of  EUR  150  million  or  less.  Overall,  the  Fund  is 
expected to unlock additional investments of between EUR 1 billion and EUR 1.7 billion. 

The CEF Debt Instrument is also available for broadband projects but since eligible telecom projects fall under the remit of  CEF 
Debt and EFSI, broadband projects to date were financed under EFSI 

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HEADING 1A: Competitiveness for growth and jobs 

Interoperability Solutions and common frameworks for European public 
administrations, businesses and citizens (ISA2) 
Lead DG: DIGIT 

I. Programme Overview 

What the programme is about? 
The  ISA  successor  programme,  ISA2  (spelled  “ISA  square”),  is  aimed  at  further  facilitating  efficient  and  effective  electronic 
interactions, cross-border or cross-sector, between European public administrations and between them,  citizens and businesses, in 
order  to  enable  the  delivery  of  electronic  public  services  and  to  support  the  implementation  of  EU  policies  and  activities.  The 
Programme shall develop interoperability solutions autonomously or complement and support other Union initiatives. 

EU added value of the programme 
ISA2  continues  and  capitalises  on  the  results  of  the  previous  ISA  programme,  broadening  its  scope  to  the  interactions  between 
public administrations, citizens and businesses. 
Important contributions of the ISA2 programme are to: 
 

the Public Sector Modernisation: Interoperability is a necessary condition for the modernisation of public administrations, in 
particular for “one-stop-shop”, “once only principle” or “end-to-end services”.  
the  Digital  Single  Market  (DSM):  Actions  identified  as  fundamental  to  the  DSM  initiative,  such  as  the  revised  European 
Interoperability  Framework  and  the  European  Catalogue,  are  supported  by  ISA2  programme  preventing  the  emergence  of 
electronic barriers. 

 

  Other EU policies: Almost all EU policies depend for their implementation on the availability of ICT systems that support the 
interconnection between MS administrations. The ISA2 programme supports the implementation of such interoperable systems 
either by funding or by providing tools to help the interconnection and implementation of these systems. 

II. Programme Update 

Implementation status (2014-2017)  
The programme has so far been implemented efficiently with 92,68 % of the actions  progressing very well  as per 02/02/2018223. 
The 2016 and 2017  work programmes  of ISA²,  were performed as  envisaged  without delays or  unforeseen events  impacting  the 
objectives stated in the legal decision of the programme.    

Key achievements  

The intermediary targets have been met on both indicators, with nine key interoperability enablers and nine supporting instruments 
for public administrations in use by European public administrations. For example, by systematically supporting Member States in 
the  implementation  and  monitoring  of  the  European  Interoperability  Framework  (EIF)  and  the  state-of-the-art  of  Digital  Public 
Administration, ISA² programme has effectively delivered on its objective to develop, maintain and promote a holistic approach to 
interoperability in the Union in order to eliminate fragmentation in the Union's interoperability landscape. It is expected that timely 
monitoring of the EIF will help to identify areas to work at Member State level towards efficiency gains for public service delivery, 
and potential synergies across EC to further common objectives of Digital Public Administration. 

Developing common vocabularies and data models, ISA² programme effectively delivers on its objective to facilitate efficient and 
effective electronic cross-border or cross-sector interaction between European public administrations on the one hand, and between 
European public administrations and businesses and citizens on the other. It also contributes to the development of a more effective, 
simplified and user-friendly e-administration at the national, regional and local levels of public administration. 

By  systematically  screening  new  EU  legislation  –  under  preparation  by  the  Commission  –  for  possible  ICT  impacts,  and  by 
providing  ICT  Impact  Assessment  guidelines  to  the  policy  officers  working  on  the  identified  ICT-related  proposals,  the  ISA² 
programme  effectively  delivers  on  its  objective  “to  identify,  create  and  operate  interoperability  solutions  supporting  the 
implementation of Union policies and activities.” A concrete example of this activity in 2017 was the ICT impact assessment of DG 
JUST's  e-Evidence  proposal  run  with  the  support  of  the  ISA²  programme.  Timely  ICT  Impact  Assessments  result  in  concrete 
efficiency  gains  by  identifying  and  deploying  reusable  components,  thus  saving  the  efforts  linked  to  new  developments,  and  by 
ensuring thorough planning of IT implementation.  

Evaluations/studies conducted 

The results of the interim evaluation of the programme will be available by 30 September 2019 as per article 13 of the legal basis. 

Forthcoming implementation (2018-2019)  

223 Update of the programme’s dashboard https://ec.europa.eu/isa2/dashboard/programme/efficiency 

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A new European interoperability framework was adopted in March 2017. It comes along with an interoperability action plan that 
includes focus areas and related actions to maximise interoperability impact at national and Union levels. The upcoming ISA² work 
programmes will be in support of the implementation of the action plan.  
 

In the period 2018-2019, special emphasis will be given to putting in place an integrated mechanism to monitor and evaluate 
the programme’s actions and the new European interoperability framework;  
reuse  of  monitoring  mechanism  and  information  to  support  the  follow-up  of  the  Tallinn  declaration,  calling  for  the 
implementation of the European interoperability framework;  
identify means to engage interoperability stakeholders including capturing their needs;  
extend the catalogue of interoperable solutions;  
continue work on data management and their semantics;  
continue  the  support  to  the  implementation  of  the  INSPIRE  Directive  on  the  creation  of  a  European  Union  spatial  data 
infrastructure  for  the  purposes  of  EU  environmental  policies  and  policies  or  activities  which  may  have  an  impact  on  the 
environment, through actions targeting interoperability of location data;  
support the implementation of the Single Digital Gateway;  
support initiatives related to making better legislation. 

 

 
 
 
 

 
 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Decision  (EU)  of  the  European  Parliament  and  of  the  Council  No  2015/2240  of  25  November  2015 
establishing  a  programme  on  interoperability  solutions  and  common  frameworks  for  European  public 
administrations, businesses and citizens (ISA²  programme) as a means for modernising the public sector 

Period of 
application 

Reference Amount 
(EUR million) 

2016 - 2020 

130,9 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

0,4 
24,4 
24,8 

0,4 
25,1 
25,5 

0,4 
25,8 
26,2 

0,4 
26,5 
26,9 

0,4 
27,1 
27,5 

Total 
Programme 
2,0 
128,9 
130,9 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

25,515 

100,00 % 

15,400 

96,75 % 

26,200 

0,00 % 

24,868 

9,15 % 

Authorised appropriations (*) 

30,149 

95,85 % 

21,194 

93,76 % 

28,063 

0,00 % 

26,636 

11,36 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 priorities 

Smart Growth (innovation, education, digital society) 
Based on the allocation of actions from the Work Programme 2018 and an estimate for 2019. 

17.6 

18.0 

Priority 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

4. Performance information 

Specific objectives 

Specific  Objective  1: to  facilitate  efficient  and  effective  electronic  cross-border  or  cross-sector  interaction  between  European 
public administrations and between them and citizens and businesses, in order to enable the delivery of electronic public services 
supporting the implementation of Union policies and activities 
Indicator 1: the number of key interoperability enablers 

Baseline 

3* 

2016 
9 

9 

Milestones foreseen 

2017 
9 

9 

Actual results 

2018 
9 

2019 
10 

Target 2020 

10 

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Indicator  2: the  number  of  supporting  instruments  for  public  administrations  delivered  to  and  used  by  European  public 
administrations 

Baseline 

4* 

2016 
9 

9 

Milestones foreseen 

2017 
9 

9 

Actual results 

2018 
11 

2019 
13 

Target 2020 

13 

* The number mentioned in the baseline for both indicators corresponds to the major actions that were carried over to the new programme ISA2 
and should not be confused with the amount of outputs created by the previous ISA programme. 

Draft Budget 2019 

Number 

EUR million 

11 
14 
12 
6 
3 
46 

Expenditure related outputs 

Outputs 

Key interoperability enablers 
Support the effective implementation of EU legislation 
Supporting instruments for European public administrations 
Accompanying measures 
Monitoring activities 
Total 

Budget line 

26 03 01 
26 03 01 
26 03 01 
26 03 01 
26 03 01 

Outputs 

Key interoperability enablers 

Support the effective implementation of EU 
legislation 

Supporting instruments for European public 
administrations 

Accompanying measures 

Monitoring activities 

F 
P 
F 

P 

F 
P 
F 
P 
F 
P 

2016 
9 
9 
13 

13 

9 
9 
4 
4 
4 
4 

2017 
9 
8 
13 

13 

9 
8 
4 
4 
4 
3 

Number of outputs foreseen (F) and produced (P) 
2018 
11 

2019 
11 

14 

12 

6 

3 

14 

12 

6 

3 

5.7 
11.0 
5.3 
3.4 
1.1 
26.5 

2020 
11 

14 

13 

6 

4 

Justification of changes to the financial programming and/or to the performance information 
The 2018 ISA2 work programme includes actions  with changes in their scope or implementation. Some of the actions have been 
concluded  in  2017;  therefore  they  do  not  appear  as  contributors  to  results/outputs.  At  the  same  time,  new  actions  have  been 
included  in  the  WP,  which  modifies  the  overall  number  of  results/outputs  to  be  delivered  in  2018  and  influences  the  number  of 
planned outputs for subsequent years. More information will available in the full version of the WP 2018 to be adopted by the end 
of March. 

5. Programme contribution to the Sustainable Development Goals 

The programme contributes to the following sustainable development goals: 
  SDG8 Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all: 
in  particular  8.2,  related  to  economic  productivity  through  technological  upgrading  and  innovation.  The  programme’s  main 
target group is the public sector which contributes by 20% to the EU GDP through procurement thus making it a key factor of 
the European and global economy. Modern public sector means better public services, less bureaucracy and consequently more 
time for citizens and businesses to be productive in their core professional activities. Also, the public sector holds and manages 
public data which if published as ‘open’ can create new innovative business thus increasing the market growth potential. It is 
estimated that full exploitation of open data can bring an overall market value of EUR 40 billion per year in the Union.  

  SDG9 Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation: The programme 
produces and sustains interoperable digital solutions which are open and free to be reused and shared by everyone. This results 
in putting in place digital infrastructures of cross-border nature, which can enhance collaboration between countries and within 
them at regional or local levels. 

  SDG17 Strengthen the means of implementation and revitalize the global partnership for sustainable development: in particular 
to goal 17.6 by promoting collaboration with third countries, international organisations or bodies, and pursuing the reuse of 
ISA2  solutions  thereof.  The  programme  has  already  set  up  international  cooperation  with  third  countries  such  as  the  USA, 
Japan, Australia, Vietnam, etc. in the areas of semantic interoperability and solutions’ reuse. 

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HEADING 1A: Competitiveness for growth and jobs 

European statistical programme (ESP) 
Lead DG: ESTAT 

I. Programme Overview 

What the programme is about? 

Political decision-makers and actors in the market constantly need statistics in order to take fact-based decisions and to monitor and 
evaluate their implementation.  In order to provide an essential infrastructure  for democracies and  modern economies  to function 
soundly  and  efficiently,  statistics  must  be  reliable,  timely  and  independent  of  political  influence.  Together  with  the  national 
statistical  institutes  and  other  national  authorities  responsible  in  each  Member  State  for  the  development,  production  and 
dissemination of European statistics, Eurostat has created a partnership collectively called the European Statistical System (ESS). 
The  European  statistical  programme  (ESP)  as  laid  down  in  Regulation  (EU)  99/2013224  provides  the  framework  for  the 
development,  production and dissemination of European statistics  for a period corresponding to that of the  multiannual financial 
framework.  The  statistics  produced  within  the  framework  of  the  ESP,  are  indispensable  for  EU  decision-making  and  for  the 
measurement of the performance and impact of key initiatives such as the Investment Plan for Europe, the European Pillar of Social 
Rights, the European Agenda on Migration, or the Energy Union. 

The ESP is designed to provide quality statistical information in a timely manner while keeping a balance between economic, social 
and environmental fields. It serves the needs of the wide range of users of European statistics, including decision-makers, 
researchers, businesses and European citizens in general, in a cost-effective manner without unnecessary duplication of effort. 

EU added value of the programme 

Only a coordinated approach to the development, production and dissemination of European statistics – as provided for in the ESP 
–  guarantees  the  required  coherence,  comparability  and  common  quality  standards  of  the  statistics  that  are  relevant  for  EU 
activities. The programme delivers EU added value by providing trustworthy statistics while maintaining the balance between the 
needs of a wide range of users and the response burden on citizens and business. Moreover, EU added value is generated through 
the sharing of knowledge and ‘best practices’ across Member States and the development of new technologies, common tools and 
collaborative networks in the ESS  with a view to taking advantage of possible synergies and avoiding duplication of effort, thus 
paving the way for a modern statistical production system equipped to meet future challenges. 

II. Programme Update 

Implementation status (2014-2017) 

The European Statistical Programme (ESP), started in 2013, is in its sixth year of implementation. 

The  mid-term  evaluation  showed  that  17  of  the  23  detailed  objectives  of  the  ESP  were  well  on  track  for  completion;  limited 
difficulties  were  experienced  in  relation  to  the  other  six,  related  to  economic  governance,  people’s  Europe,  geospatial, 
environmental,  agricultural  and  other  sectoral  statistics,  priority  setting  and  simplification,  and  the  enhancement  of  the  ESS 
governance  framework.  However,  in  the  meantime  corrective  actions  have  already  been  taken225.  The  preliminary  results  of  a 
second mid-term evaluation of the programme,  which is being carried out, show that the corrective actions have been successful 
and those detailed objectives are now back on track. Moreover, an execution of nearly  100% in commitment appropriations  was 
registered in the final budget of the ESP in 2015, 2016 and 2017. 

Key achievements 

Examples of the EU added- value of the ESP and success stories: 
  The European Parliament and the Council adopted in October Regulation (EU) No 2017/1951 amending Regulation (EU) No 
99/2013 on the European statistical  programme 2013-17 extending it to 2020. The extended ESP 2013-2020  will provide the 
framework for more timely and detailed statistics in key policy areas such as the European Pillar of Social Rights or the Energy 
Union. 
In 2017, Eurostat provided comparable, reliable and timely information and thus supported the evidence-based implementation 
of European Union policies, the Europe 2020 strategy and the 10 Commission Priorities. 

 

  Regarding  macroeconomic  statistics,  in  2017  Eurostat  produced  68  news  releases  and  their  underlying  data  in  the  area  of 
"National Accounts, Prices and Key Indicators". This accounts for 34% of all news releases of Eurostat and a substantial share 
(42%)  of  euroindicator  releases.  In  this  area,  products  included  market  sensitive  flash  releases:  8  for  quarterly  GDP  (Gross 
Domestic  Products) and 12 for monthly  HICP (Harmonised Index of Consumer Prices). In addition to news releases, 6 news 

224 Regulation (EU) 99/2013 
225 The amended Reg.223/2009 (Regulation (EU) 2015/759 of the European Parliament and of the Council of 29 April 2015 amending Regulation (EC) No 
223/2009 on European statistics (OJ L 123, 19.5.2015, p. 90) and improvement actions resulting from the Peer Reviews 2015 address issues of governance of the 
ESS. 

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articles  were published in the  website section "What`s  new". For the first time country level data  of  the HICP flash estimate 
were released alongside EU and EA (Euro Area) data. Concerning government finance statistics, the bi-annual assessment of 
EDP  data  was  carried  out  satisfactorily.  The  April  and  October  2017  notifications  were  undertaken  under  the  ESA  2010 
guidelines. 
In  relation  to  business  statistics,  for  the  Digital  Single  Market  and  thus  in  view  of  achieving  one  of  the  10  Commission 
priorities, Eurostat produced the first EU-wide statistics on the collaborative economy. 

 

  Regarding  sectoral  or  regional  statistics,  the  Commission  adopted  in  December  2016  the  proposal  for  a  Regulation  on  new, 
integrated ways to collect and use statistics on farms so as to better support policy making in general and agricultural policy in 
particular. An ad hoc statistical publication on sustainable development in the European Union — A statistical glance from the 
viewpoint of the UN Sustainable Development Goals (SDGs) has been released together with the Commission Communication 
on  "Next  Steps  for  a  sustainable  European  future  –  European  action  for  sustainability",  along  with  two  videos  and  a  citizen 
guide.  Regulation  (EU)  2016/1952  on  European  statistics  on  electricity  and  natural  gas  price  statistics  entered  into  force, 
enabling starting from 2017 a complete, comprehensive energy price system with the main objectives to ensure and adapt data 
collected to new policy needs of the Resilient Energy Union and to enforce the Third Energy Package. Eurostat also coordinated 
the development of an indicator set to monitor progress towards the Sustainable Development Goals in an EU context (EU SDG 
indicator set) and released a communication package on SDGs including a detailed monitoring report, a short, visual brochure, a 
series of Statistics Explained articles and a new dedicated web section. 

  Eurostat released most of the results of the 2015 LUCAS (Land use/Land cover) Survey and is preparing the follow-up 2018 

 

 

LUCAS Survey, which will further increase the utility of LUCAS data for EU agro-environmental policy purposes. 
In  the  area  of  social  statistics,  the  adoption  of  the  proposal  for  a  regulation  on  statistics  on  persons  and  households  by  the 
Commission  in  August  2016  is  a  major  achievement.  The  regulation  aims  at  increasing  relevance,  flexibility,  timeliness  and 
efficiency of social statistics  collected from sample. Methods for flash estimates of the income distributions  were developed, 
and  the  methods  and  their  current  results  were  presented  and  discussed  with  the  users  and  producers.  The  new  Commission 
Regulation  concerning  statistics  on  healthcare  expenditure  and  financing  was  implemented  in  2016.  These  statistics  are  now 
available  for  all  EU  Member  States  as  a  support  for  the  health  policies  within  the  European  Semester  and  the  new  initiative 
"State of Health in the EU". They complement EU statistics on education and social protection expenditure and constitute one 
of  the  EU  largest  social  spending.  An  approach  for  better  linking  distributions  of  micro  data  on  income,  consumption  and 
wealth  at  micro  level  and  with  the  national  accounts  framework  was  developed,  and  the  Vienna  Memorandum  that  fixes  the 
European Statistical System (ESS) orientations in the field was adopted in the reporting year by the European Statistical System 
Committee (ESSC). Seasonally-adjusted main indicators on employment and unemployment were issued for the first time. New 
innovative statistical products have also been delivered for the reinforced role of social indicators to further support the  social 
dimension  of  Europe,  in  particular  flash  estimates  of  income  distribution,  new  data  on  skills  and  labour  mobility,  and  joint 
distribution of income, consumption and wealth at the household level for the analysis of inequalities. A new web site has been 
setup for the dissemination of the indicators in the social scoreboard of the European Pillar of Social Rights. 
In  view  of  the  implementation  of  new  methods  of  production,  Eurostat  and  18  National  Statistical  Institutes  of  the  EU  have 
partnered into a collaborative network which launched a number of concrete big data pilots. Among the deliverables in 2016 for 
ESDEN (European Statistical Data Exchange Network), new Member States have been connected to the secure network for data 
exchange and the work has started on the modernisation of the EDAMIS (Electronic Data files Administration and Management 
Information System) infrastructure. For SERV (sharing services on the ESS), work has continued on defining the framework for 
sharing the services, creating a catalogue of statistical services and on the delivery of the first services to be shared among the 
Member States. These services are based on the common statistical production architecture framework sponsored by the High 
Level Group for the modernisation of statistical production and services. In the area of statistical production, Eurostat continues 
with the gradual migration to corporate systems focusing on automation of tasks and rationalisation of IT systems in line with 
the  IT  strategy,  and  major  progress  has  been  achieved  in  different  areas  of  social  statistics,  national  accounts  statistics  and 
business statistics. In the area of standardisation, Eurostat  has actively engaged  with OECD (Organisation for Economic  Co-
operation and Development) the shared development of SDMX (Statistical Data and Metadata Exchange) software to reduce the 
cost  of  adoption  and  implementation  of  SDMX  in  the  organisations  and  also  run  a  pilot  for  the  data  sharing  with  the 
International  Monetary  Fund  (IMF)  to  reduce  the  burden  when  sharing  figures  between  international  organisations  in  the 
domain of national accounts. Eurostat has substantially advanced with regard to aligning production methods of statistics to  the 
target architecture, in particular as regards validation and data preparation. 

  The revision of the European Statistics Code of Practice was adopted by the European Statistical System Committee (ESSC) in 

 

November 2017. 
In  order  to  make  statistics  more  attractive  and  provide  EU  citizens  with  the  statistical  background  to  help  understand  the 
challenges faced by the Commission's Priorities, Eurostat released in 2016 its first digital publication: "Shedding light on energy 
in the EU". This new type of publication, which includes short texts, dynamic infographics, maps, videos, animations, graphs 
and photos, has received very positive feedback from users. 

Evaluation / studies conducted 

The first mid-term evaluation[1] of the ESP covered the implementation of the programme in the years 2013 and 2014 plus relevant 
progress accomplished in 2015. The evaluation also considered the results of the final evaluation[2] of the linked "Programme for 

[1]  http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52015DC0309&rid=1 

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the Modernisation of European Enterprise and Trade Statistics" (MEETS), which finished at the end of 2013, to check that the two 
programmes were coherent and well-coordinated. 

As  already  stated,  the  first  mid-term  evaluation  concluded  that  17  out  of  the  23  detailed  objectives  were  well  on  track  for 
completion.  Limited difficulties were experienced in relation to the other six, these being economic governance (1.2.2), people’s 
Europe  (3.2.1),  geospatial,  environmental,  agricultural  and  other  sectoral  statistics  (3.3.1  and  3.3.4),  priority  setting  and 
simplification  (2.1)  and  partnership  within  the  European  Statistical  System  and  beyond  (1.1).  In  particular  for  the  objective  on 
priority–setting  and  simplification,  substantial  reductions  could  not  be  obtained  with  the  existing  mechanism  to  fix  negative 
priorities. Eurostat has proposed a  new  mechanism  for priority setting to the ESS and  proposals for  framework regulations  have 
been adopted for agriculture statistics, business statistics and social statistics to simplify the production of statistics in those fields. 
The  quantitative  evaluation,  based  on  the  percentages  of  planned  activities  that  were  completed  or  on  track  and  of  the  outputs 
produced  for  each  objective,  was  accompanied  by  a  qualitative  evaluation.  The  analysis  indicated  that  all  projects  classified  as 
critical  on  the  basis  of  their  strategic  importance,  the  number  of  staff  involved  or  the  financial  resources  invested,  had  been 
successfully concluded or were on track. Good progress had also been made on projects related to modernisation of the production 
system.  The  evaluation  also  indicated  that  the  projects  involving  collaboration  between  the  members  of  the  ESS  showed  good 
results,  with  the  European  Statistical  System  collaboration  networks  and  the  European  Statistical  System  2020  Vision 
implementation  projects  having  made  particularly  good  progress.  Measuring  the  costs  of  producing  statistics  and  the  burden  on 
respondents proved to be more difficult, with different methodologies being used in the Member States. Eurostat therefore launched 
in 2015 a first cost assessment survey on production of official statistics in the European Statistical System. 

The evaluation also recommended taking care of some critical issues by giving the following recommendations: 

1) Give particular attention to those objectives where problems have been encountered 
Although  the  implementation  of  the  European  statistical  programme  is  proceeding  well,  it  is  advisable  to  concentrate  on  areas 
where limited problems have come to light, in order to remain on track for meeting all the objectives. The results of this focusing of 
efforts will be visible from the annual monitoring of activities. 

2) Secure sufficient resources to  maintain the necessary level of investment for the  modernisation of the production of European 
statistics 
In order for the national statistical institutes to be able to participate actively in the projects designed to modernise the production of 
European statistics, and to implement their results, at a time when resources are being reduced, whilst ensuring regular statistical 
production,  more  resources  must  be  invested  in  the  European  Statistical  System.  The  process  of  modernising  the  production  of 
statistics  offers  a  way  of  tackling  the  issue  of  limited  or  decreasing  resources,  but  itself  requires  initial  investment  in  order  to 
advance at the desired speed and to guarantee the long-term sustainability of the system. 

3) Identify and implement projects at EU level which can maximise EU added value 
The EuroGroups register, the Single Market Statistics (SIMSTAT) project, and the census hub are just some examples of projects 
that  have  benefited  from  increased  collaboration  between  Eurostat  and  the  national  statistical  institutes,  made  possible  through 
collaborative  approaches  such  as  the  European  Statistical  System  collaboration  networks,  and  as  part of  the  European  Statistical 
System vision implementation projects. The work carried out in implementing the European Statistical System Vision 2020 plays 
also a role in maximising EU added value. 

A second mid-term evaluation of the ESP started at the end of 2017. Its purpose is to support the impact assessment of the post-
2020 European statistical programme, together with the results from the first mid-term evaluation, and it is being conducted back-
to-back with the impact assessment. The evaluation covers the years 2015, 2016 and 2017. Its preliminary results indicate that: 

  The  ESP's  objectives  are  being  fulfilled,  as  20  of  the  23  detailed  objectives  are  on  track  for  completion  by  the  end  of  the 
programme. The ones registering limited difficulties are detailed objective 2 on economic governance, detailed objective 4 on 
economic globalisation and detailed objective 18 on dissemination and communication. 

  The programme is run efficiently. A trend of increased internal productivity is observed, with more statistics being produced 
with decreasing human resources. Costs and burden of the production of official statistics in the ESS are decreasing but slowly 
while being still difficult to measure.  

  The programme provides a clear EU-added value. The EU added-value of the programme is demonstrated by the harmonised 
provision  of  comparable  and  high-quality  data  for  EU  countries.  The  ESP  as  a  harmonised  system  with  common  quality 
standards  for  the  production  of  statistics  is  unparalleled  in  the  world.    A  similar  level  of  harmonisation,  comparability  and 
quality cannot be achieved at Member State level alone to make essential contributions to Union activities, in particular the 10 
political priorities of the Commission. 

The first results also suggest that the ESP is contributing to satisfy the information needs of different categories of users but that 
some changes, in the way statistics are produced, may be necessary to maintain and improve the relevance of the programme. Users 
ask for improvements in the quality of data, especially concerning timeliness and comparability, and not all requests for new data 
for emerging policy needs could be taken into account. Eurostat and the ESS are modernising the statistical production processes to 
respond  to  such  needs  while  taking  advantage  of  new  technologies.  Focus  must  be  given  to  the  implementation  of  such 

[2]  http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52014DC0444&rid=1  

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modernisation,  which  may  require  changes  in  the  way  statistical  authorities  gather  and  process  data,  and  necessitate  access  to 
adequate resources. 

Forthcoming implementation (2018-2019) 

The main outputs expected to be achieved in 2018 
The main expected output is the Eurostat catalogue of statistical products for 2018, which contains the list of statistics to support 
the  monitoring  of  the  Europe  2020  strategy,  the  enhanced  Stability  and  Growth  Pact  and  the  Macroeconomic  Imbalances 
Procedure, in particular for the European Semester. In addition, a first version of the statistical service catalogue will be released. It 
will be one of the main contributions to the federated catalogue of the Data4Policy initiative, which will provide data and analytics 
services to all Commission DGs through a single point of entry. 

In line with the Commission’s priorities, the work will focus on indicators to support the social dimension of the EU and EMU in 
the  context  of  the  European  Semester,  the  European  Pillar  of  Social  Rights,  the  Macroeconomic  Imbalances  Procedure,  and  the 
social and territorial impact analysis of the macroeconomic policies. Actions will also be taken towards more timely social statistics 
in  particular  on  inequalities,  poverty  and  social  exclusion,  and  on  social  protection  expenditure.  Moreover,  work  on  the 
development of links with the framework of national accounts in the areas of social protection, health and education will continue 
in order to progressively increase, where possible, consistency and timeliness of data compiled for these three domains, with a view 
to  supporting  integrated  socio-economic  analyses.  Furthermore,  improvements  to  asylum  and  managed  migration  statistics  will 
follow  the  policies  stemming  from  Commission  priority  "Towards  a  European  agenda  on  Migration".  In  order  to  enable  further 
improvements in the production and dissemination of European statistics, projects under the ESS Vision 2020 portfolio will focus 
on a better responsiveness to users' requirements and innovative communication of European statistics, the use of new data sources, 
improved  data  exchange,  and  on  a  new  and  future-oriented  dissemination  chain.  The  related  frameworks,  such  as  quality  and 
enterprise architecture, including standards, will continue to frame and steer the prioritisation among the different initiatives. 

Main goals of the proposed ESP extension for the period 2018-2020 
The ESP has been extended by Regulation (EU) 2017/1951226 to cover the remaining duration of the current multiannual financial 
framework. The extension takes into account the growing demands for high quality and timely statistics to support the design and 
evaluation  of  European  policies.  It  will  ensure  the  effective  contribution  of  European  statistics  to  the  achievement  of  the 
Commission’s  political  priorities  and  at  the  same  time  strengthen  the  capacity  of  Eurostat  and  the  ESS  to  react  faster  to  new 
demands  through  embracing  the  potential  of  big  data,  geo-spatial  data  and  digital  technologies,  while  limiting  the  burden  on 
respondents. In the period 2018-2020, a range of measures will be taken to close the most urgent data gaps and increase timeliness 
of European statistics. For example, the programme will provide better social statistics on income and inequalities as well as skills 
and  equal  opportunities  on  the  labour  market.  Furthermore,  the  integration  of  migrants  into  the  labour  market  will  be  better 
monitored. Other actions relate to the improvement of data for the Energy Union and on the circular economy. The programme will 
also  be  linked  to  the  United  Nations’  Agenda  2030  for  sustainable  development  by  supporting  an  indicator  framework  for 
monitoring the Sustainable Development Goals (SDGs) at EU level.  

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation (EU) 2017/1951 of the European Parliament and of the Council of 25 October 2017 amending 
Regulation (EU) No 99/2013 on the European statistical programme 2013-17, by extending it to 2020 (Text 
with  relevance  for  the  EEA  and  for  Switzerland.  Regulation  (EU)  No  1383/2013  of  the  European 
Parliament  and  of  the  Council  of  17  December  2013  amending  Regulation  (EU)  No  99/2013  on  the 
European statistical programme 2013-17 

2013 - 2020 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

2,9 
53,4 
56,3 

2,9 
54,9 
57,8 

2017 

3,0 
56,4 
59,4 

3,1 
58,0 
61,1 

3,2 
58,5 
61,7 

3,3 
73,2 
76,6 

3,4 
75,5 
78,9 

2018 

Total 
Programme 
21,8 
429,9 
451,8 

Voted appropriations 

CA 
61,108 

Impl. Rate 
99,13 % 

PA 
55,041 

Impl. Rate 
98,57 % 

CA 
61,705 

Impl. Rate 
13,82 % 

PA 
48,230 

Impl. Rate 
42,45 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

77,92 % 

13,64 % 

35,31 % 

88,97 % 

70,450 

72,448 

64,948 

72,945 

226 Regulation (EU) 2017/1951 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
The EU's strategic objectives like Europe 2020 rely on the European statistical data in order to provide evidence basis for EU policy 
definition,  implementation,  monitoring  and  evaluation.  European  statistical  programme  (ESP)  is  designed  to  provide  quality 
statistical information in a timely manner while keeping a balance between economic, social and environmental fields and serve the 
needs  of  the  wide  range  of  users  of  European  statistics,  including  other  decision-makers,  researchers,  businesses  and  European 
citizens in general, in a cost-effective manner without unnecessary duplication of effort. 

4. Performance information 
General objectives 

General Objective 1: The European Statistical System to be the leading provider of high-quality statistics on Europe. 
Indicator 1: Eurostat impact on Internet: (a) number of mentions and (b) percentage of negative opinions 
Previous indicator227: Percentage of users that rate as "Very good" or "Good" the overall quality of data and services provided by Eurostat 

Baseline 
2012 

70,6% 

2013 
71,5% 

2014 
72,4% 

2015 
73,2% 

69,7% 

70,3% 

72,4% 

Milestones foreseen* 

2016 
74,1% 
Actual results 
70,6% 

2017 
75% 

74.9% 

2018 

2019 

Target 2020 

Positive trend 

New indicator228: Eurostat impact on Internet: (a) number of mentions and (b) percentage of negative opinions 

2013 

n.a. 

2014 

n.a. 

2015 

n.a. 

2016 

n.a. 

2017 

n.a. 

2018 
(a) increase 
(b)  2% 

2019 

(a) increase 
(b)  2% 

Milestones foreseen* 

Baseline 
2017 

(a) 264 932 
(b) 0,03% 

n.a. 

n.a. 

n.a. 

Source: monthly report on Eurostat's impact on the web. 

Actual results 

(a) 224 161 
(b) n.a. 

(a) 264 932 
(b) 0,03% 

Target 2020 

(a) 
increase 
(b)  2% 

Justification of changes to the financial programming and/or to the performance information 
New enhanced indicators have been defined when the ESP 2013-2017 has been extended up to 2020. 

Specific objectives 
Specific  Objective  1: To  provide  statistical  information,  in  a  timely  manner,  to  support  the  development,  monitoring  and 
evaluation  of  the  policies  of  the  Union  properly  reflecting  priorities,  while  keeping  a  balance  between  economic,  social  and 
environmental  fields  and  serving  the  needs  of  the  wide  range  of  users  of  European  statistics,  including  other  decision-makers, 
researchers, businesses and European citizens in general, in a cost-effective manner without unnecessary duplication of effort. 
Indicator 1: Statistical coverage (measured as number of indicators, sub-indicators and all their breakdowns) 
Previous indicator229:"Percentage of users that rate as "Very good" or "Good" the overall quality of European statistics" 

2018 

2019 

Target 2020 

Baseline 
2012 

62,9% 

2013 
64,3% 

2014 
65.7% 

2015 
67,2% 

62,6% 

64,4% 

61,2% 

Milestones foreseen* 

2016 
68,6% 
Actual results 
63,2% 

2017 
70% 

62.4% 

positive trend 

Target 2020 

increase 

New indicator230: Statistical coverage (measured as number of indicators, sub-indicators and all their breakdowns) 

Baseline 
2017 

328 489 272 

2013 
n.a. 

2014 
n.a. 

2015 
n.a. 

Milestones foreseen* 

2016 
n.a. 
Actual results 
n.a. 

2017 
n.a. 

2018 
increase 

2019 
increase 

n.a. 

n.a. 
Source: report on the content of Eurostat's public databases. 
Indicator 2: Number of data extractions made by external users from Eurostat reference databases (EuroBase and Comext) via the 
Eurostat website (using the Data Explorer or Easy Comext) – Millions 

328 489 272 

n.a. 

Baseline 
2012 

7,87 

2013 
7,88 

7,98 

2014 
8,1 

7,79 

Milestones foreseen 

2015 
8,3 

8,30 

2016 
8,5 
Actual results 
11,34 

2017 
8,7 

13.33 

Source: Monitoring reports on Eurostat electronic dissemination. 

2018 
increase 

2019 
increase 

Target 2020 

increase 

227 Valid until 31/12/2017 
228 As identified in ESTAT's Strategic Plan 2018-2020 
229 Valid until 31/12/2017 
230 As identified in ESTAT's Strategic Plan 2018-2020 

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Indicator 3: Degree of achievement of the Specific Objective measured as percentage of the achievement of the Outputs related to 
it 

Baseline 
2012 

N/A* 
*indicator created 
in 2013 

2013 
100% 

2014 
100% 

2015 
100% 

87,1% 

92,3% 

93,8% 

Milestones foreseen 

2016 
100% 
Actual results 
92,86% 

2017 
100% 

95,1% 

2018 
100% 

2019 
100% 

Target 2020 

100% 

Sources: ESTAT twice-yearly monitoring reports. Twice a year, DG ESTAT’s units give a mark to each of the outputs under their responsibility. 
The  marks  are  the  following:  "Achieved",  "On  target",  "Difficulties",  "Revised",  "Cancelled".  The  percentages  given  in  the  table  include 
"Achieved" and "On target". The "ideal" target is 100% every year. 

Expenditure related outputs 

Outputs* 

Statistical activities-total 
Of which: 
PA1: Europe 2020 
PA2: Economic governance 
PA3: Economic globalisation 
PA4: Economic and social performance 
PA5: Environmental sustainability 
PA6: Business statistics 
PA7: People’s Europe 
PA8: Geospatial, environmental, agriculture and other sectoral statistics 
PA12: Dissemination and communication 
PA13: Training, innovation and research 

Budget line 

29 02 01 

Draft Budget 2019 

Number 
198 

EUR million 
45,549 

1 
21 
8 
25 
6 
26 
34 
49 
23 
3 

0,199 
2,058 
1.766 
12,647 
1,590 
6,346 
5,590 
9,493 
4.911 
0.949 

(*) In this context "outputs" are understood as activities to be listed in the annex to the draft 2019 Annual Work Programme. 

Outputs 

Outputs related to the Statistical activities 

2014 
126 
110 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
201 
201 

2016 
224 
208 

2018 
203 
194 

2015 
126 
121 

2019 
198 

2020 
252 

Justification of changes to the financial programming and/or to the performance information 
New enhanced indicators have been defined when the ESP 2013-2017 has been extended up to 2020. In the period 2014-2015 the 
"outputs" corresponded to the foreseen Implementing Measures of the Financing Decisions of those years. In the period 2016-2020 
the  "outputs"  corresponds  to  the  foreseen  activities  (processes  and  projects)  listed  in  the  ad  hoc  annex  of  the  Annual  Working 
Programs (AWP) of those years. The reasons of this change are that (1) the AWP's activities correspond better to the definition of 
programme's outputs and (2) the granularity of the Financing Decisions has been revised. 

Specific  Objective  2: To  implement  new  methods  of  production  of  European  statistics  aiming  at  efficiency  gains  and  quality 
improvements. 
Indicator 1: Timeliness of a sub-set of the statistics provided by Eurostat measured as number of days between the last day of the 
statistics' reference period and the release day of the related news release 
Previous indicator231: Percentage of users that rate as "Very good" or "Good" the timeliness of European statistics for their purposes 

Baseline 
2012 

56,3% 

2013 
56,5% 

2014 
57,8% 

2015 
58,5% 

55,1% 

58,4% 

56,2% 

Milestones foreseen* 

2016 
59,3% 
Actual results 
57,3% 

2017 
60% 

56,1% 

2018 
** 

2019 
** 

Target 2020 

 positive trend 

Source: Eurostat annual User Satisfaction Survey. The full reports are available on demand. 
New indicator232: Timeliness of a sub-set of the statistics provided by Eurostat measured as number of days between the last day of the statistics' 
reference period and the release day of the related news release 

Baseline 
2017 

Quarterly: 85,7 
Monthly: 35,9 

Milestones foreseen* 

2013 

n.a. 

2014 

n.a. 

2015 

n.a. 

2016 

n.a. 

2017 

n.a. 

2018 
decrease in 
the number of 
days 

2019 
decrease in 
the number 
of days 

n.a 

n.a 

n.a 

n.a 

Quarterly: 85,7 
Monthly: 35,9 

Actual results 

Target 2020 

decrease in the 
number of days 

231 Valid until 31/12/2017 
232 As identified in ESTAT's Strategic Plan 2018-2020 

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Source: Eurostat's news releases. 
Indicator 2: Degree of achievement of the Specific Objective measured as percentage of the achievement of the Outputs related to 
it 

Baseline 
2012 

N/A* 
*Indicator created 
in 2013 

2013 
100% 

2014 
100% 

2015 
100% 

86,1% 

86,4% 

88,7% 

Milestones foreseen 

2016 
100% 
Actual results 
91,23% 

2017 
100% 

88,9% 

2018 
100% 

2019 
100% 

Target 2020 

100% 

Source: ESTAT twice-yearly monitoring reports.Twice a year, Eurostat units give a mark to each of the outputs under their responsibility. The 
marks are the following:  "Achieved", "Not achieved", "Output revised" (which are counted as "Not achieved"). The "ideal" target is 100% every 
year. 

Expenditure related outputs 

Outputs* 

Budget line 

Statistical activities 
Of which: 
PA9: European Statistical System (ESS) quality management 
PA11: Multipurpose statistics and efficiency gains in production 
(*) In this context "outputs" are understood as activities to be listed in the annex to the 2019 Annual Work Programme.  

29 02 01 

6 
59 

Draft Budget 2019 

Number 
65 

EUR million 
26,354 

1,519 
24,835 

Outputs 

Outputs related to the Statistical Activities 

2014 
39 
34 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
51 
54 

2016 
57 
52 

2018 
65 

2015 
39 
38 

2019 
NA 

2020 
NA 

Justification of changes to the financial programming and/or to the performance information 
New enhanced indicators have been defined when the ESP 2013-2017 has been extended up to 2020. 

Specific Objective 3: To strengthen the partnership within the European Statistical System and beyond in order to further enhance 
its productivity and its leading role in official statistics worldwide 
Indicator 1: Punctuality of statistics: average number of days in advance (positive) or delay (negative), in comparison to the legal 
target: 1) Principle European Economic Indicators (PEEIs): Euro Area – monthly series 2) Principle European Economic Indicators 
(PEEIs): Euro Area – quarterly series 3) Foreign trade with countries outside the EU: Comext-Extra: data sent by MS to Eurostat. 
Previous indicator233:Percentage of users that rate as "Very good" or "Good" the comparability of European statistics among regions and countries 
Milestones foreseen* 

2013 
56,4% 

2014 
57,8% 

2015 
58,5% 

58,0% 

58,6% 

58% 

2016 
59,3% 
Actual results 
58,6% 

2017 
60% 

55,2% 

2018 

2019 

Target 2020 

 positive trend 

Baseline 
2012 

56,2% 

Source: Eurostat annual User Satisfaction Survey. The full reports are available on demand. 
New indicator234: Punctuality of statistics: average number of days in advance (positive) or delay (negative), in comparison to the legal target: 1) 
Principle European Economic Indicators (PEEIs): Euro Area – monthly series 2) Principle European Economic Indicators (PEEIs): Euro Area – 
quarterly series 3) Foreign trade with countries outside the EU: Comext-Extra: data sent by MS to Eurostat. 

Baseline 
2012 

1) -0.10 
2) -10.2 
3) +3 

2013 
≥ 0 

1) -0,6 
2) -10,1 
3) +2 

2014 
≥ 0 

1) -1,2 
2) -10,5 
3) +2 

Milestones foreseen* 

2015 
≥ 0 

1) -1,8 
2) -10,3 
3) +3 

2016 
≥ 0 
Actual results 
1) -0,7 
2) -10,3 
3) +2 

2017 
≥ 0 

1) 0,0 
2) -11,2 
3) +3 

2018 
≥ 0 

2019 
≥ 0 

Target 2020 

≥ 0 

Source for Comext-Extra: Eurostat internal report on Comext database: More detailed information is available on demand. Source for PEEIS: 
annual Status report on information requirements in EMU to the Economic and Financial Committee. The list of PEEIs is defined in the 
Communication of the Commission to the European Parliament and the Council on Eurozone statistics COM/2002/661. 
Indicator 2: Degree of achievement of the Specific Objective measured as % of the achievement of the Outputs related to it 

Baseline 
2012 

NA –indicator 
created in 2013 

2013 
100% 

2014 
100% 

2015 
100% 

92,8% 

93% 

94,3% 

Milestones foreseen 

2016 
100% 
Actual results 
92,86% 

2017 
100% 

100% 

2018 
100% 

2019 
100% 

Target 2020 

100% 

233 Valid until 31/12/2017 
234 As identified in ESTAT's Stategic Plan 2018-2020 

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Sources: ESTAT twice-yearly monitoring reports. Twice a year, Eurostat units give a mark to each of the outputs under their responsibility. The 
marks are the following: "Achieved", "On target", "Difficulties", "Revised", "Cancelled". The percentage given in the table includes "Achieved" 
and "On target".  The "ideal" target is 100% every year. 
Expenditure related outputs 

Outputs* 

Budget line 

Statistical activities 
Of which: 
PA 14: Partnership with the European Statistical System (ESS) and beyond 
(*) In this context "outputs" are understood as activities to be listed in the annexe to the2018 Annual Work Programme. 

29 02 01 

24 

Draft Budget 2019 

Number 
24 

EUR million 
1,342 

1,342 

Outputs 

Outputs related to the Statistical activities 

2014 
17 
16 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
14 
27 

2016 
28 
26 

2018 
26 

2015 
17 
14 

2019 
24 

2020 
NA 

Specific  Objective  4: To  ensure  that  delivery  of  statistics  is  kept  consistent  throughout  the  whole  duration  of  the  programme, 
provided that this does not interfere with the priority-setting mechanisms of the ESS. 
Indicator 1: Percentage of the time series that cover 10 or more consecutive years 
Previous indicator235: Length of the time series of a sample of statistics: Euro Indicators (active series) 

Baseline 
2012 

≥15 years: 41,7% 

≥10 years: 94,4% 

2013 
>40% 

40,7% 
≥ 90% 

2014 
48,8% 

44,5% 
≥ 90% 

94,8% 

95% 

Milestones foreseen* 

2015 
52,5% 

Not available  
≥ 90% 

Not available  

2016 
56,3% 
Actual results 
n.a.** 
≥ 90% 
Actual results 
n.a.** 

2017 
n.a. 

2018 
n.a. 

2019 
n.a. 

Target 2020 

* This indicator was abandoned in 2015 and replaced in January 2018 due to serious technical problems in the calculation IT software. 
** The indicator refers to the duration (in years) of a sample of statistics. Accordingly, there are two different indicators (1a and 1b) measured. 
Source: 
series 
http://epp.eurostat.ec.europa.eu/portal/page/portal/statistics/search_database 
New indicator236: Percentage of the time series that cover 10 or more consecutive years 

EuroInddomain 

available 

included 

analysis 

datasets 

the 

the 

on 

of 

of 

in 

Eurostat  website 

Baseline 
2017 

37,35% 

2013 

n.a. 

2014 

n.a. 

2015 

n.a. 

2016 

n.a. 

2017 

n.a. 

Milestones foreseen* 

n.a. 
Source: report on the content of Eurostat's public databases. 

n.a. 

n.a. 

Actual results 
n.a. 

37,35% 

2018 
do not 
decrease 

2019 
do not 
decrease 

Target 2020 

do not decrease 

Expenditure related outputs 
There is no specific action allocated to the objective N°4. All the actions related to it are fulfilling the specific objective N°1. 

Justification of changes to the financial programming and/or to the performance information 
The current European Statistical Programme (ESP) originally covered the period 2013 to 2017. It has been extended by Regulation 
(EU) 2017/1951 to cover the remaining duration of the current multiannual financial framework until 2020. New enhanced 
indicators have been defined when the ESP 2013-2017 has been extended up to 2020. 

235 Valid until 31/12/2017 
236 As identified in ESTAT's Strategic Plan 2018-2020 

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HEADING 1A: Competitiveness for growth and jobs 

Specific activities in the field of financial reporting and auditing 
Lead DG: FISMA 

I. Programme Overview 

What the programme is about? 

The programme involves co-financing of activities of three organisations operating in the field of financial reporting and auditing, 
namely the International Financial Reporting Standards Foundation (IFRS Foundation), the European Financial Reporting Advisory 
Group  (EFRAG)  and  the  Public  Interest  Oversight  Board  (PIOB).  The  IFRS  Foundation  develops  international  accounting 
standards via its International Accounting Standards Board (IASB), while EFRAG ensures that the EU is speaking with one voice 
and the interests of the Union are adequately taken into consideration in that process. In addition, EFRAG provides the European 
Commission with endorsement advice on new or modified standards. The PIOB is responsible for monitoring the due process of the 
international standard setting process in the areas of audit and assurance, education, and ethics. The funding programme contributes 
to  having  highly  reliable  financial  reporting  by  companies.  This  in  turn  facilitates  the  optimal  allocation  of  savings  and  the 
reduction of the cost of capital for companies in the EU and elsewhere. 

EU added value of the programme 

In  a  global  economy,  there  is  a  need  for  a  global  accounting  language.  International  Financial  Reporting  Standards  (IFRS) 
developed by the International Accounting Standards Board (IASB) are adopted and used in many jurisdictions around the world. 
Such  international  accounting  standards  need  to  be  developed  under  a  transparent  and  democratically  accountable  process.  To 
ensure that global standards are of high quality and compatible with Union law, it is essential that the interests of the Union are 
adequately taken into account in that international standard-setting process. Regarding auditing it is important to make sure that the 
International Federation of Accountants (IFAC) standard setting activities are properly responsive to the public interest. The Public 
Interest Oversight Board (PIOB) is responsible for monitoring the due process of the standard setting process. 

As regards the strategic objectives of the programme for the future, particularly relevant for the IFRSF and the PIOB,  it must be 
continued in the future to preserve the EU's international influence in the field of financial reporting. As for EFRAG, its reactive 
work and of proactive would remain also important to ensure that the European views on the development of financial reporting are 
properly and clearly articulated in the international standard-setting process. It is crucial that EFRAG continue to provide adequate 
assessment  of  whether  draft,  new  or  amended  IFRS  responded  to  the  Union's  need  while  taking  account  of  the  diversity  of 
accounting and economic models in the EU. 

II. Programme Update 

Implementation status (2014-2017) 

Internal evaluations of the activities of the three beneficiaries (EFRAG, IFRS Foundation and the PIOB) confirms the relevance of 
the EU funding programme and strengthens the legitimacy of their position to serve the European public interest by developing and 
promoting European views in the field of financial reporting and auditing and ensuring these views are properly considered in the 
IASB standard-setting process and in the IFAC standard setting activities.  

In Particular in 2017, the Commission has appreciated the comprehensive effects analysis, which supported EFRAG's endorsement 
advice on IFRS. In 2018, EFRAG should pursue its effort to further develop its capacities in impact analysis as a wider mandate 
has  been  given  to  it  in  the  'Maystadt'  reform  which  requires  substantially  more  effort  than  undertaken  before,  as  "additional 
assessments and impact analyses are necessary in order to reach a conclusion as to whether the new requirements are conducive to 
the European public good". 

Key achievements  

Following the governance reform implemented in 2014, EFRAG continued to carry out endorsement assessments on whether IFRS 
were  meeting  all  technical  criteria  of  the  IAS  Regulation,  including  the  true  and  fair  view  principle,  and  also  strengthened  its 
assessment on whether new or proposed financial reporting requirements were conducive to the public good. 

In the beginning of 2017, EFRAG delivered its final endorsement advice on the IASB’s Amendments to IFRS 4 Applying IFRS 9 
Financial  Instruments  with  IFRS  4  Insurance  Contracts.  In  March  EFRAG  delivered  its  final  endorsement  advice  on  IFRS  16 
Leases. For the first time EFRAG’s advice was underpinned by a macro-economic impact analysis. In 2017 EFRAG has started its 
work on the endorsement advice on IFRS 17 Insurance Contracts of which an impact analysis will form a key part. EFRAG also 
delivered its endorsement advice on the amendments to IFRS 9 Prepayment Features with Negative Compensation. 

The new IFRSs 9, 15, 16 and the amendment to IFRS 4 will have to be applied from 1 January 2018 onwards and are expected to 
considerably  enhance  the  quality  of  financial  reporting  and  will  result  in  increased  understandability,  transparency  and 
comparability of financial statements. Consequently, the users of financial statements, including investors, will be in a position to 
take more informed decisions. 

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Evaluations/studies conducted 
The relevant findings of the implementation of the programme, which include the achievements mentioned above, are submitted in 
the  form  of  annual  reports  to  the  European  Parliament  and  the  Council,  as  required  by  Regulation  (EU)  No  258/2014.  In  this 
respect,  the  most  recent  report  of  2017  237  on  the  activities  of  the  IFRS  Foundation,  EFRAG  and  PIOB  in  2016  includes  the 
following findings: 
As  regards  the  IFRS  Foundation  In  2016  the  International  Accounting  Standards  Board  (IASB  or  the  Board)  issued  another 
major standard: IFRS 16 Leases concluding its decade-long effort to overhaul the accounting for leases and published amendments 
to IFRS 4 Insurance Contracts in September 2016. In addition, the IASB continued to work on a number of other major projects, in 
particular the new Insurance Contracts (IFRS 17 finalised in May 2017), the Disclosure Initiative and the Conceptual Framework. 
As regards EFRAG As a result of implementing a governance reform in 2014 and the appointment of the President of its Board in 
July  2016,  EFRAG  has  strengthened  the  legitimacy  of  its  positions  and  significantly  contributed  to  the  objective  of  Europe 
speaking  with  one  voice.    EFRAG  continued  to  take  account  in  its  endorsement  assessments  of  whether  IFRS  were  meeting  all 
technical  criteria  of  Regulation  (EC)  No  1606/2002238  and  strengthened  its  scope  of  assessment  of  whether  new  or  proposed 
financial reporting requirements are conducive to the European public good.  
In  March  2017,  EFRAG  delivered  its  final  endorsement  advice  on  IFRS  16  Leases.  For  the  first  time  EFRAG’s  advice  was 
underpinned  by  a  robust  macro-economic  impact  analysis.  The  Commission  has  appreciated  the  comprehensive  effects  analysis, 
which supported EFRAG's endorsement advice on IFRS 16 Leases, and encourages EFRAG to further develop its capacities in this 
area. EFRAG has also started its work on the endorsement advice on IFRS 17 Insurance Contracts of which an impact analysis will 
form a key part. The impact analysis will be based on case studies and surveys in 2018. Finally, thanks to its extensive due process, 
EFRAG was in a position to provide adequate assessment of whether draft, new or amended IFRS respond to the Union’s needs 
while taking into account the diversity of accounting and economic models and views in the EU. 

As  regards  PIOB  The  diversification  of  funding  sources  in  2016  has  continued  as  the  year  before.  The  total  share  of  revenue 
sources provided by IFAC in 2016 is 58,50%, which is a little lower than that of in 2015 (60,67%), but very similar to that of 2014 
(58.19%). It is still below the two-thirds threshold stipulated in the Regulation. This reflects the scarcity of public funding all over 
the world due to the prevailing public sector financial constraints. For the coming years, the Commission will continue monitoring 
the  funding  developments  and  will  cooperate  with  other  interested  stakeholders,  in  particular  with  other  Monitoring  Group 
members, to ensure that the PIOB benefits from a clear, stable, diversified and adequate funding system so that it can accomplish 
its  public  interest  mission  in  an  independent  and  efficient  manner.  In  this  respect  it  is  noted  that  the  oversight  model  may  be 
affected by the outcome of the Monitoring Group Consultation Paper concerning "proposals for strengthening the governance and 
oversight of the international audit-related standard setting boards in the public interest", which was published on IOSCO's website 
in November 2017.  

Forthcoming implementation (2018-2019)  
In 2018, EFRAG's work will continue to depend on and strictly follows the IASB progress. The endorsement activity is expected to 
remain significant which includes the publication of draft endorsement advice and in particular the concluding of the endorsement 
process for IFRS 17 Insurance Contracts. This will be a substantial undertaking reflecting the significance of the standard and its 
impact on the insurance sector. Another major project envisaged in the forthcoming implementation of the programme include the 
endorsement of the remaining major standards, namely IFRS 16 Leases (currently EFRAG is working on its endorsement advice).  

EFRAG  also  envisages  spending  resources  on  research  activities  including  the  projects  requested  by  the  European  Commission 
(e.g. on the accounting treatment of equity instruments under IFRS 9 from a long term investment perspective - Equity instruments, 
Impairment and Recycling) which was called for in the European Parliament's resolution on the endorsement of IFRS 9. 

In  addition  to  this  work,  proactive  work  should  also  be  required  from  EFRAG  to  encompass  (i)  impact  analysis  of  standards 
including  the  assessment  of  whether  the  proposed  standards  are  conducive  to  the  European  good,  (ii)  cost  benefits  and  broader 
impacts,  including  relevant  macro-economic  analysis  to  support  its  conclusions  laid  down  in  the  endorsement  advice.    IFRS 
Foundation  in  2018  will  continue  its  mission  to  assess  and  make  sure  that  the  developed  IFRS  Standards  bring  transparency, 
accountability and efficiency to financial markets around the world and serve the public interest. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation  (EU)  No  258/2014  of  the  European  Parliament  and  of  the  Council  of  3  April  2014 
establishing  a  Union  programme  to  support  specific  activities  in  the  field  of  financial  reporting 
and auditing for the period of 2014-20 and repealing Decision No 716/2009/EC 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

43,2 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

6,8 
6,8 

8,0 
8,0 

8,1 
8,1 

8,2 
8,2 

8,4 
8,4 

8,6 
8,6 

Total 
Programme 
56,9 
56,9 

8,8 
8,8 

237   COM(2017) 684 final 
238   Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards (OJ L 

243, 11.9.2002, p. 1). 

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2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
8,207 

Impl. Rate 
100,00 % 

PA 
7,083 

Impl. Rate 
100,00 % 

CA 
8,446 

Impl. Rate 
0,00 % 

PA 
8,400 

Impl. Rate 
0,00 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

99,50 % 

99,57 % 

0,00 % 

0,00 % 

8,482 

7,152 

8,276 

8,436 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies – not applicable 

4. Performance information 

Specific objectives 

Specific Objective 1: to improve the conditions for the efficient functioning of the internal market by supporting the transparent 
and independent development of international financial reporting and auditing standards 
Indicator 1: number of countries using International Financial Reporting Standards (IFRS) 

Baseline 
2013 

In 2013 approximately 128 
countries use IFRS. 

Milestones foreseen 

2014 
130 

130 

2015 

130 

2016 
130 
Actual results 
133 

2017 

2018 

2019 

135 

Target 2020 

Maintain positive 
trend 

Indicator 2: percentage of standards endorsed in the EU compared to the number of standards issued by the IASB 

Baseline 

On 29 October 2012, 89 % 
of IFRSs was endorsed in 
the EU (124 standards out 
of 139). 

Expenditure related outputs 

Milestones foreseen 

2014 
96 % 

2015 

2016 
96 % 

Actual results 

2017 

2018 

2019 

96% 

95% 

96% 

97% 

Target 2020 

100 % 

Outputs 

Support to IFRS Foundation 
Support to the European Financial Reporting Advisory Group (EFRAG) 
Support to the Public Interest Oversight Board (PIOB) 
Total 

Budget line 

12 02 03 
12 02 03 
12 02 03 

Draft Budget 2019 

Number 

EUR million 
4,8 
3,5 
0,3 
8.6 

5. Programme contribution to the Sustainable Development Goals 

The funding programme contributes to having highly reliable financial reporting by companies. This in turn facilitates the optimal 
allocation  of  savings  and  the  reduction  of  the  cost  of  capital  for  companies  in  the  EU  and  elsewhere.  Therefore,  the  funding 
programme is, particularly, in line with SDG 8, as it directly helps to promote sustained inclusive and sustainable economic growth, 
full and productive employment and decent work for all. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 
Not applicable 

7. Programme related additional information 
On 13 April 2016, the Commission proposed to extend the financing of EFRAG for the period 2017-2020 through amending the 
Regulation No 258/2014. The proposal239 has not yet been adopted by the European Parliament and the Council. 

239 https://ec.europa.eu/transparency/regdoc/rep/1/2016/EN/1-2016-202-EN-F1-1.PDF 

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HEADING 1A: Competitiveness for growth and jobs 

Enhancing consumers involvement in EU policy making in the field of financial services 
Lead DG: FISMA 

I. Programme Overview 

What the programme is about? 

The  programme  aims  at  involving  consumers  and  other  financial  services  end-users  in  Union  and  relevant  multi-lateral  policy-
making in the area of financial services as well as informing them about issues at stake in the financial sector. Details on the history 
of the programme are available in the next section. 

Every  year  since  2011,  two  beneficiaries  have  submitted  work  programmes  annually  focussing  on  activities  that  would  broaden 
their  outreach  and  sharpen  their  impact  on  EU  policy-making  in  the  area  of  financial  services.  In  general  terms,  these  activities 
include: 
 
 

publications of a number of research and policy papers in line with the Union's political agenda and priorities; 
activities  engaging  existing  members  and  stakeholders  (workshops,  conference  calls,  public  events,  etc.),  including  in 
Member States; 
increased and diversified membership – in particular covering more Union Member States; 
increased  audience  of  communications  and  outreach  activities,  including  organisation  of  high-level  conferences, 
participation in hearings, good press coverage and social media activities, and financial education and training; 
increased  representation  of  consumer  and  end-user  interests  in  the  Union  policy-making  through  regular  meetings  with 
policymakers  and  through  participation  in  expert  or  stakeholder  groups  with  EU  institutions  and  European  Supervisory 
Authorities (ESAs) with the ultimate objective of leaving a mark on Union policy-making; 
a sustained and more diverse funding pool. 

 
 

 

 

In 2017, a new legal basis entered into force transforming the former pilot programme into a multi-annual programme ending on 31 
December 2020. The substance of the beneficiaries' activities continues from predecessor initiatives. Every year, the Commission 
has an opportunity to suggest areas of improvement over past years to sustain the continued growth of the two beneficiaries.  No 
changes are expected till end-2020. A review of the 2017 legal basis is foreseen by end-2019. 

EU added value of the programme 

The new regulation establishing a Union programme for the period 2017-2020 follows on a previous pilot project and preparatory 
action  which  were  positively  evaluated  in  2015.  In  particular,  the  evaluation  assessed  positively  the  Union  added  value  of  the 
previous  pilot  project  and  preparatory  action:  national  organisations  dealing  with  all  kinds  of  consumer  issues  lack  technical 
expertise and cannot cover such a broad and highly specialised scope of policy areas related to financial services. In addition, no 
other similar organisations were identified at EU level at the time. 

The  new  Programme  established  for  the  period  2017-2020  will  contribute  to  continue  involving  consumers  and  other  financial 
services  end-users  in  Union  and  relevant  multi-lateral  policy-making  in  the  area  of  financial  services  as  well  as  informing  them 
about issues at stake in the financial sector. The broad and highly specialised expertise required to achieve these policy objectives is 
not sufficiently available at national level so far. The new regulation complies with the subsidiarity principle since, in accordance 
with Article 5 of the Treaty on the European Union, its objectives cannot be sufficiently achieved by the Member States and can, by 
virtue of the scale and the effect of the action, be better achieved at Union level. 

II. Programme Update 

Implementation status (2014--2017) 

At the end of 2011, the Commission launched a two years' pilot project to provide support for the development of financial services 
expertise  for  the  benefit  of  European  end-users  and  other  non-industry  organisations,  with  the  objective  to  enhance  the  latter's 
capacity  to  participate  in  Union  policy-making  in  the  area  of  financial  services.  This  decision  was  taken  in  the  context  of  the 
financial crisis and ahead of an important political agenda of reform for the EU financial sector. Through this pilot project and the 
subsequent preparatory action, the Commission awarded via yearly calls for proposals operating grants to two Brussels-based non-
profit entities, Finance Watch240 and Better Finance241 between 2012 and 2015. A preparatory action can be used up to three years. 
As  of  2017,  a  legal  basis,  adopted  by  European  Parliament  and  Council  would  have  been  necessary  to  continue  funding  such 
actions, for instance on multi-annual basis.  
Key achievements  
This is a small programme (+/- EUR 1.5 million per annum) with commensurately modest key achievements. Final grant reports 
from the beneficiaries on their activities in 2017 are not yet available. Drawing on the partial information available, continuity and 
growth are the main achievements for both beneficiaries.  

240 http://www.finance-watch.org/fr   
241 http://www.betterfinance.eu/ 

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Better Finance continues to assert itself as a specialised EU non-industry association with a primary focus on retail investments. Its 
annual report on the real returns of pension products is a respected source of information by industry, consumers and specialised 
media  alike.  In  2017,  Better  Finance  launched  a  new  product  (checkyourfund.eu)  which  shall  be  continued  due  to  interest 
generated. This website helps investor identify potentially falsely active investment funds (known as closet indexers). In line with 
its  priorities,  Better  Finance  also  kept  stable  its  participation  in  expert  groups  run  by  the  Commission  or  European  Supervisory 
Authorities (22 experts, one down from 2016). 
Finance  Watch  continued  to  develop  a  comprehensive  expertise  in  financial  services  policy.  It  is  gradually  demonstrating  a 
comparative advantage in the area of sustainable finance – an investment which has earned Finance Watch the financial support of 
an  external  donor,  the  Mava  Foundation  (EUR  0.66  million  for  2018).  In  this  context,  Finance  Watch  is  developing  an  index 
measuring the  "greenness" of financial centres. 2017 marked the  end of an internal transition  for Finance Watch, culminating  in 
what  the  beneficiary  describes  as  "Finance  Watch  2.0".  Henceforth,  Finance  Watch's  advocacy  and  outreach  are  guided  by  a 
Strategic Plan and the focus is on targeted meetings (quality vs. quantity), more proactive engagement, more educational activities 
and a new channel for campaigning geared towards the promotion of sustainable finance. The last activity was initiated through a 
conference  in  December  2017  called  "Change  Finance"  and  involves  a  year-long  campaign  to  build  together  a  coalition  of  civil 
society  activists,  campaigners,  economists,  sustainable  finance/economy  practitioners,  citizens  and  journalists  devoted  to  making 
the financial system work for citizens and for a sustainable development agenda. 
N.B. As regards the requirement for DG FISMA to measure performance in relation to programme indicators, 2017 is the baseline 
year, so there is little to report on an objective basis. See Section 4. 

Evaluations/studies conducted 
The Commission launched an evaluation of the pilot project and subsequent preparatory action at the end of 2014 242. The outputs of 
this  evaluation  have  been  made  publicly  available  in  a  Commission  Staff  Working  Document243  on  DG  FISMA's  website.  The 
evaluation presented the following main findings: 

  Since  first  receiving  EU  financial  support,  Finance  Watch  and  Better  Finance  have  grown  into  expert  non-industry 

organisations, the one complementing the other in terms of scope of activities/membership reach.  

  Finance Watch and Better Finance  worked on different policy areas and targeted different audiences. With the exception of 

retail finance, they collectively managed to cover most of the EU financial political agenda since 2012. 

  Both organisations managed to provide policy makers with other views (e.g. through parliamentary hearings at EU and national 

level) than those expressed by the financial sector, helping to balance other advocacy interests during EU law-making.  

  Finance  Watch  was  assessed  as  more  present  on  the  Brussels  policy-making  scene  whereas  Better  Finance  was  found  more 

effective in the second- and third-level legislative activities of the European Supervisory Authorities (ESAs).  

  Both  were  found  to  possess  substantial  expertise  and  proper  communication  capacity  through  websites,  press  releases  and 

conferences for the benefit of their members and the wider public alike.  

  One area for further growth was the ability of the two organisations to build the capacity of their own members to influence EU 

policy making.  

  Both remained heavily dependent on EU funding in 2015.  
  The evaluation found evidence of their added value in relation to national members and also to European consumers in a way 

that national consumer advocacy groups have not been able to deliver. 

In summary, according to the evaluation, the policy objectives of the pilot project were met through the creation of two hubs for 
financial expertise partly set up thanks to public funding and in the context of a pilot project and the subsequent preparatory action. 
However, these two hubs were at the time still dependent on EU funding and not assessed as being able to continue their respective 
targets  and  activities  without  these  funds.  At  the  same  time,  the  evaluation  stressed  that  no  other  applicant  responded  to  the 
successive yearly calls for proposal during that period which tends to prove that no other organisation is currently able to  carry out 
similar activities at European level with such a broad and highly specialised scope.  

In view of the above, it was considered important for the Union to contribute to the funding of these beneficiaries, who have been 
properly evaluated and proved to be relevant, effective and efficient in achieving the policy objectives set up at the end of 2011. 
Continuing  funding  them  along  the  same  lines  in  the  coming  years  was  considered  essential  to  ensure  that  the  positive  impacts 
assessed  so  far  will  be  maintained.  The  Commission  therefore  proposed  in  2016  a  multi-annual  programme  to  continue  the 
activities  covered  by  the  pilot  programme  and  fund  activities  through  action  grants  instead  of  operational  grants.  Co-legislators 
finalised the  proposal in good time and the resulting Regulation (See Section III)  was  published on 17 May 2017. The situation 
should be re-evaluated by 2020. 

Forthcoming implementation (2018-2019)  

In  2017,  a  new  legal  basis  entered  into  force  (See  next  section)  transforming  the  former  pilot  programme  into  a  multi-annual 
programme  ending  on  31  December  2020.  The  substance  of  the  beneficiaries'  activities  continues  from  predecessor  initiatives. 
Every year, the Commission has an opportunity to suggest areas of improvement over past years to sustain the continued growth of 
the two beneficiaries. No changes are expected till end-2020. A review of the 2017 legal basis is foreseen by end-2019. 

242 Before Better Regulation Package new rules were adopted 
243 https://ec.europa.eu/info/system/files/staff-working-document-22122015_en.pdf   

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III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

OJ  L  129,  19.5.2017,  p.  17–23    Regulation  (EU)  2017/826  of  the  European  Parliament  and  of  the 
Council of 17 May 2017 on establishing a Union programme to  support specific activities enhancing 
the involvement of consumers and other financial services end-users in Union policy-making in the area 
of financial services for the period of 2017-2020 (Text with EEA relevance. ) 

Period of 
application 

Reference Amount 
(EUR million) 

2017 - 2020 

6,0 

Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

1,1 
1,1 

1,5 
1,5 

1,5 
1,5 

Total 
Programme 
5,6 
5,6 

1,5 
1,5 

2017 

2018 

CA 
1,080 

Impl. Rate 
100,00 % 

PA 
0,702 

Impl. Rate 
100,00 % 

CA 
1,500 

Impl. Rate 
0,00 % 

PA 
1,325 

Impl. Rate 
0,00 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 
3. Contribution to Europe 2020 Strategy and mainstreaming of policies – not applicable 

100,00 % 

100,00 % 

0,00 % 

0,00 % 

1,500 

0,702 

1,080 

1,325 

4. Performance information 

Specific objectives 

Specific Objective 1: To further enhance the participation and involvement of consumers and other financial services end-users in 
Union and relevant multi-lateral policy-making in the area of financial services 
Indicator  1: Number  of  position  papers  and  responses  to  public  consultations  for  both  beneficiaries  (both  a  tangible  output  of 
advocacy activities) – N.B. The Commission will adopt no legislative proposals after May 2018. So a decline in advocacy output is 
to be expected. 

Baseline 

56 

2014 
n.a. 

n.a. 

2015 
n.a. 

n.a. 

Milestones foreseen 

2016 
n.a. 
Actual results 
n.a. 

2017 
n.a. 

n.a. 

2018 
30 

2019 
30 

Target 2020 

Maintain positive 
trend 

Specific Objective 2: To contribute to the information of consumers and other financial services end-users about issues at stake in 
the financial sector 
Indicator 1: Number of Twitter followers – Twitter is an efficient means to distribute information and to link followers to websites 
or Facebook pages where more material can be retrieved 

Baseline 

1740 

2014 
n.a. 

n.a. 

2015 
n.a. 

n.a. 

Milestones foreseen 

2016 
n.a. 
Actual results 
n.a. 

2017 
n.a. 

n.a. 

2018 
2100 

2019 
2300 

Target 2020 

Maintain positive 
trend 

Expenditure related outputs 

Outputs 

Action grants awarded to two beneficiaries 
Total 

Budget line 

12 02 08 

Draft Budget 2019 

Number 

EUR million 

5. Programme contribution to the Sustainable Development Goals - not applicable 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme - not applicable 

7. Programme related additional information 
On 15 June 2016, the Commission proposed a regulation to establish a Union Programme to provide support for the development of 
a financial expertise centre to the benefit of European end-users and other non-industry organisations with the objective to enhance 
the latter's capacity to participate in the Union policymaking in the area of financial services.  A political agreement was reached on 
14 February 2017 by the European Parliament and the Council but the regulation is not yet published in the OJ. 

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HEADING 1A: Competitiveness for growth and jobs 

European Defence Industrial Development Programme 
Lead DG: GROW 

I. Programme Overview 

What the programme is about? 

The  European  Defence  Industrial  Development  Programme  (EDIDP)  is  part  of  the  capability  window  of  the  European  Defence 
Fund launched in June 2017. It will provide co-financing for collaborative defence capabilities development projects in line with 
capability priorities commonly agreed by EU Member States. The Programme aims to foster the competitiveness and innovation 
capacity of the  EU defence industry in line  with the  provisions of  Article 173  of the  Treaty on the Functioning of the European 
Union (TFEU). 

The proposed overal budget of the EDIDP is EUR 500 million for the 2019-2020 period pending adoption by co-legislator.  

To be eligible, projects would need to be undertaken by at least three undertakings which are established in at least two different 
Member  States.  The  Programme  will  fund  actions  covering  the  full  development  cycle  of  defence  capabilities  including  design, 
prototyping,  testing,  qualification  and  certification,  as  well  as  feasibility  studies  and  other  support  activities.  EU  support  for 
prototyping can reach up to 20 per cent of the costs of the action, while for the other types of actions up to 100 per cent of the costs 
may be covered. The Work Programme of the EDIDP will also ensure that a credible proportion of the budget will be dedicated to 
actions enabling the cross-border participation of SMEs.  

The EDIDP will complement the research window of the European Defence Fund thus enabling a better exploitation of the results 
of defence research. It will also build on strong synergies with EU defence cooperation initiatives such as the Permanent Structured 
Cooperation (PESCO) and the Coordinated Annual Review on Defence. 

EU added value of the programme 

The EU competence to take action on industrial development matters comes from Article 173 of the TFEU.  
The defence sector is characterised by a long-term trend of raising costs of defence equipment and by high development costs. This 
implies that the development of innovative defence capabilities is increasingly beyond the capacity of single Member States. The 
European defence sector is moreover suffering from low levels of investment and is characterised by fragmentation along national 
borders leading to persistent duplications. Cross-border cooperation remains very limited, while it can help to better capture scale 
effects by reducing duplications and would enable the development of the needed products and technologies.  

The  lack  of  coherent  EU  support  for  defence  development  and  the  prevalence  of  non-coordinated  national  policies  of  Member 
States in this area have proven to impede the development of the defence industry.. The lack of cooperation leads to competitive 
disadvantages for the European defence industry and endagers its capacity to respond to the security and defence needs of the EU 
Member  States.  It  remains  a  major  source  of  inefficiency  in  the  use  of  scarce  public  resources  and  constitutes  a  significant 
impediment for the implementation of the Common Security and Defence Policy (CSDP). 

Action  at  EU  level  will  provide  added-value  by  means  of  further  stimulating  industrial  defence  cooperation  through  positive 
incentives, targeting projects in the development phase of defence products and technologies. The support of the European Union 
will allow to unlock projects which are frequently beyond the means of a single country: the nature of these projects and their costs 
make a trans-national cooperation necessary. The projects supported will be based on common technical specifications leading to a 
better and more efficient collaboration and enabling further savings in the following stages of the life-cycle and improved levels of 
interoprability.  

The  EU  intervention  will  incentivise,  but  not  replace,  the  efforts  of  Member  States,  whose  importance  remains  crucial  for  the 
launch  of  defence  development  projects.  The  Union  intervention  does  not  undermine  or  prejudice  in  any  manner  the  support  of 
actions carried out at national level. It only provides additional incentives to accomplish the most challenging phase of certain of 
those  actions  by  offering  Union  support,  where  most  needed.  It  thus  complies  with  the  principles  of  subsidiarity  and 
proportionnality. 

II. Programme Update 

Forthcoming implementation (2018-2019)  

The  proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing  the  European  Defence  Industrial 
Development Programme aiming at supporting the competitiveness and innovative capacity of the EU defence industry is currently 
being examined by the co-legislators. Following the adoption and the entry into force of the Regulation, a Work Programme will be 
prepared and adopted in accordance with the examination procedure provided for in Article 5 of  Regulation (EU) No 182/2011, if 

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so  decided  by  the  co-legislator.  The  Work  Programme  should  be  adopted  by  the  end  of  2018  in  order  to  enable  the  effective 
implementation of the Programme through the publication of the first calls for participation early in 2019.  

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

COM/2017/0294 final - Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND 
OF THE COUNCIL establishing the European Defence Industrial Development Programme aiming at 
supporting the competitiveness and innovative capacity of the EU defence industry 

Period of 
application 

Reference Amount 
(EUR million) 

2019 - 2020 

500,0 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

0,3 
244,7 
245,0 

0,5 
254,5 
255,0 

Total 
Programme 
0,8 
499,2 
500,0 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

Authorised appropriations (*) 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

0,00 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies –not applicable 

4. Performance information 

General objectives 

General Objective 1: To enhance the competitiveness and innovation capabilities of the European defence industry 

Specific objectives 

Specific  Objective  2: To  support  and  leverage  the  cooperation  between  undertakings,  including  small  and  medium-sized 
enterprises, in the development of technologies or products in line with defence capability priorities commonly agreed by Member 
States within the Union 
Indicator 1: Number of funded cooperative projects 
Indicator 2: Total value of funded cooperative projects 
Indicator  3: Average  number  of  Member  States  in  which  the  undertakings  participating  in  a  consortium  receiving  funding  are 
established 
Indicator 4: Number of companies involved as consortium members in a funded cooperative project and their size 
Indicator 5: Number of SMEs involved in projects funded 

Specific  Objective  3: To  foster  better  exploitation  of  the  results  of  defence  research  and  contribute  to  closing  the  gaps  between 
research and development. 
Indicator 1: Share of the projects funded that involve prototyping 
Indicator 2: Share of the budget funding prototyping actions 

5. Programme contribution to the Sustainable Development Goals - not applicable 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme - not applicable 

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HEADING 1B: Economic, social and territorial cohesion 

European Social Fund (ESF) 
Lead DG: EMPL 
Associated DGs: EAC, SRSS 

I. Programme Overview 

What the programme is about? 

The ESF is Europe’s main instrument for supporting jobs, helping people get better jobs and ensuring fairer job opportunities for all 
and supporting upskilling and reskilling. It works by investing in Europe’s human capital  – its workers, its young people and all 
those  seeking  a  job.  ESF  financing  of  EUR 10  billion  a  year  is  improving  job  prospects  for  millions  of  Europeans,  in  particular 
those who find it difficult to get work. 

EU added value of the programme 

The ESF is the EU's main financial instrument to support  structural reforms in the fields of employment, education and training, 
with a direct link to the priorities and headline targets of the Europe 2020 strategy in terms of employment, education and poverty. 
It contributes to the promotion of economic and social cohesion and social inclusion within the EU and serves as an instrument for 
financial solidarity and economic integration. 

Ample  evidence  demonstrates  that  EU  policies  supported  by  the  ESF  would  not  have  been  implemented  or  would  have  been 
realised to a significantly lesser extent had it not been for EU investment. At the same time, through European funding, Member 
States invest in areas and target groups (or pursue reforms) which they would have not pursued  - even when national funding is 
available. As such, the ESF acts as an important instrument to support reform efforts of many Member States in areas of crucial 
importance for the European economy in line  with recommendations issued in the context of the European Semester: reforms in 
labour market policies, youth employment, modernisation of vocational education and training, welfare system and administrative 
reforms.244 Member States often refer to the fact that even when national resources are available to fund areas of social expenditure, 
the ESF has in fact provided the necessary incentive framework to deliver on long term investments supporting structural reforms 
(often in a sustainable manner spanning more than one political cycles). In particular, Administrative capacity building financed by 
the ESF has supported the implementation of the structural reforms underlying CSRs.245 

The ex-post evaluation of ESF during the 2007-2013 programming period shows that the fund brings significant and lasting effects 
in  terms  of  volume,  scope,  role  and  process  effects.  The  evaluation  identified  also  aspects  for  improvements  which  have  been 
addressed to a large extend in the 2014-2020 programming period. These refer notably to the closer alignment with EU and national 
priorities, keeping flexibility to adjust to emerging needs, ensuring coverage of disadvantaged groups, focusing on young and older 
people,  promoting  the  customisation  of  support,  strengthening  the  results  orientation  and  synergies  with  other  EU  instruments. 
These include also addressing the limitations faced regarding the design of programmes, aggregation of data on participations and 
results. 

Others areas will be considered in the context of preparations for the ESF post-2020, notably the continued need to simplify and 
reduce administrative burden. 

II. Programme Update 

Implementation Status (2014-2017) 

The  year  2017  has  marked  a  strong  acceleration  of  implementation  for  all  operational  programmes  despite  important  disparities 
between Member States and programmes. The ESIF 2017 Strategic Report246 of the programme’s annual implementation reports 
and  progress  reports  covering  implementation  up  until  end  2016  was  published  and  transmitted  to  the  European  Parliament,  the 
Council, the European Economic and Social Committee and the Committee of the Regions on 13 December 2017. The document is 
accompanied by a Staff Working Document, which contains more details information on implementation and on evaluations. This 
report underlines that the ESI Funds provide a stable, long-term investment framework for Member States and their regions. It also 
shows that the number of projects selected in 2016 rose sharply, indicating that Member States are reaching full speed in turning 
the ESI Funds into concrete results and improving people’s lives in Europe. 

The first years of a programming period require efforts from the managing authorities to set up programme structures and processes 
in order to ensure sound and quality investments. They include the designation of authorities, the mobilisation of stakeholders, the 
setting-up of IT systems, the establishment of monitoring committees, the definition of selection criteria and the launch of calls for 
proposals.  By  end  2017,  designation  packages  are  still  expected  for  approximately  2%  of  programmes.  The  lack  of  designation 
prevents Member States from sending payment applications to the Commission; it however does not prevent implementation on the 
ground. 

244 Ismeri Europe (2018) 'Support of ESI Funds to the Implementation of the CSRs and structural reforms in Member States' (unpublished). 
245 Ismeri Europe (2018) 'Support of ESI Funds to the Implementation of the CSRs and structural reforms in Member States' (unpublished). 
246 http://ec.europa.eu/regional_policy/en/policy/how/stages-step-by-step/strategic-report/ 

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During 2017  nearly 11 billion € has been paid by DG EMPL for the 2014-2020's ESF programmes (including pre-financing) and 
by the end of 2017 the absorption rate (interim payments vs. 2014-2020 allocation) for the ESF was 8.25%247. Despite a low level 
of certified expenditure of the ESF by November 2017, the average project selection rate had exceeded 42%, paving the way for a 
strong contribution of the ESI Funds to the Europe 2020 objectives in these areas.  

In 2017, Member States reported on the fulfilment of ex ante conditionalities, which are pre-conditions for efficient and effective 
spending. Out of all action plans for ex ante conditionalities affecting ESF investments, 99% of them had been completed by end 
2017.  

Concerning the YEI, implementation in 2016 and 2017 sped up. By the of 2017 the total eligible cost of YEI operations selected for 
support was nearly EUR 7 billion and over EUR 3.2 billion had been declared by beneficiaries. By end 2017, the Commission had 
received around EUR 2.7 in YEI payment applications from the Member States (including interim payments and initial and annual 
pre-financing). By September 2017, around 1.7 million young people had been included in YEI-supported measures.  

Simplified Cost Options - Following the adoption of Delegated Regulation 2015/2195 in July 2015, the Commission adopted four 
amendments  of  the  regulation  and  should  adopt  two  further  amendments  by  end  2018. The  forthcoming  fifth  amendment  would 
extend to eighteen the number of Member States covered by unit costs set in the delegated regulation. These Member States will 
benefit  from  the  legal  certainty  of  having  their  simplified  cost  methodology  and  amount  defined  in  advance  and  also  from  the 
consequent reduction in the administrative burden associated with reduced documentation that need to be retained for management 
verification.  The  total  ESF  expenditure  expected  to  be  covered  by  the  unit  costs  under  the  regulation  would  be  approximately 
EUR 9 billion. 

Key achievements  

While  implementation  greatly  varies  between  Member  States  and  operational  programmes,  in  aggregate  terms  the  ESF  and  YEI 
actions delivered by end 2016: 
 
 
  Amongst  those  participants  787 000  were  in  employment  following  an  ESF  or  YEI  operation,  820 000  had  gained  a 

7.8 million participants248, including 4.2 million unemployed and 2.1 million inactive; 
1.6 million participants were long term unemployed; 

 
 

qualification upon leaving an ESF or YEI operation; 
276 000 participants were in education or training thanks to ESF or YEI support; 
458 000  disadvantaged  participants,  including  people  with  a  migrant  background,  in  ESF  or  YEI-funded  operations  were 
engaged in job searching, education/training, gained a qualification or were in employment, including self-employment. 

By September 2017 Member States had already declared that 1.7 million young people had benefitted from the YEI.  

In terms of financial implementation, despite a still relatively low level of ESF certified expenditure by end of September 2017, the 
average project selection rate had exceeded 42%, which shows that implementation on the ground in well under way. 

Evaluations/ Studies conducted  

Article 19(6) of the ESF Regulation sets out that Member States will conduct at least two evaluations to assess the effectiveness, 
efficiency and impact of the YEI. The first evaluation had to be completed by 31 December 2015 with the second evaluation due by 
31 December 2018. 

The majority of the evaluations carried out by Member States related to the YEI. The process-oriented evaluations concluded that 
YEI  interventions  generally  provided  support  to  those  areas  that  are  in  greatest  need  such  as  the  long-term  unemployed,  the 
inactive,  and  discouraged  young  people  and  were  expected  to  deliver  a  significant  positive  impact.  More  specifically,  positive 
outcomes have been reported, like in the case of Cyprus and Bulgaria, with 45% of participants being in employment after leaving 
the  intervention.  In  France,  it  was  concluded  that  the  exit  rate  of  participants  was  higher  than  expected.  The  evaluation  in  Italy 
showed that around 35% of the young who have completed the interventions are now in employment.  

Another  conclusion  of  several  YEI  evaluations  was  that  the  most  effective  interventions  differed  per  specific  target  group;  i.e. 
training, and guidance were considered as the most effective. Less effective interventions considered training for entrepreneurship 
and apprenticeship places as it turned out in the cases of Romania, Lithuania, and Italy.  

The YEI also contributed to the launch of innovative actions such as the integrated training-accompaniment actions managed by the 
VDAB in Belgium). Overall, the best results were experienced where project partners and stakeholders like the Public Employment 
services, schools, and municipalities cooperate.  

Some evaluations reported on differentiated regional approaches while implementing YEI interventions across regions, due to the 
regional  set  up  of  administration.  For  instance,  the  evaluation  in  Lithuania  pointed  to  the  fact  that  the  selection  criteria  for  YEI 
support are not homogeneous across municipalities. This was considered that might hinder participation of NEETs with the same 
characteristics in different municipalities. Similarly, the evaluation in Italy pointed on heterogeneity in the average effort of Public 
Employment services among regions in terms of taking on responsibility for beneficiaries while the evaluation in France pointed to 
the fact that the decentralisation of the management was administratively more demanding.  

247 Being consistent with the previous data provided the effects of the OP Amendments adopted in Q3-Q4/2017 were not reflected in the calculation of the end-2017 
absorption rate. 
248   One individual may participate in several ESF funded operations and therefore 'participants' should be understood as participations. 

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A  specific  challenge  identified  was  the  difficulty  of  approaching  the  NEETs,  especially  those  belonging  to  the  most  vulnerable 
groups.  Moreover,  NEETs  seemed  to  be  a  very  heterogeneous  target  group  and  each  target  group  needs  another  combination  of 
interventions when considering the labour market needs. 
Beyond YEI, few evaluations were carried out by Member States relating to ESF in previous years. In general, these  evaluations 
concluded that there was a positive effect on job placement and stability of employment. 

Forthcoming implementation (2018-2019)  

In 2018, Member States will submit annual implementation reports. These reports should provide both quantitative and qualitative 
evidence on the implementation of  the Funds. EMPL  will  work on the consolidation of  these data  and evaluation evidence  with 
Member States. In order to ensure a closer link between the EU and its citizens and a more transparent European Union, the four 
ESIF DGs will then prepare an Annual Summary Report based on the information included in these reports to the attention of the 
European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions. EMPL, together with 
the other ESIF DGs, will also continue making relevant data available to all on an ESIF Open Data Platform. 

In  2018,  EMPL  will  prepare  the  impact  assessment  and  the  proposal  for  the  ESF+  2021-2027,  ensuring  that  new  proposals  are 
evidence-based. It will complement information obtained through the 2007-2013 ex post evaluations, on-going DG REGIO studies 
and  the  analysis  of  the  implementation  data.  In  this  context,  EMPL  organised  in  February  2018,  together  with  the  Bulgarian 
Presidency, a conference on 'Investing in People – the way forward'. The objectives of the conference were to identify main trends 
for  future  funding  in  human  development  investments  and  harvest  concrete  suggestions  for  the  future  Commission  legislative 
proposal, as well as test the various options. Some of the key findings of this conference were that the ESF+ should: 

 
 
 
 
 

prepare the European workforce to the challenges of the future (including for technological transformation); 
continue to be inclusive to tackle the challenges of those further away from the labour market face; 
be the key instrument to deliver the European Pillar of Social Rights; 
continue to promote partnerships and be a laboratory for innovative actions; 
offer more flexibility and simplify delivery for all stakeholders. 

In 2018 and 2019 EMPL will also continue providing technical and policy  guidance on  the operational programmes through the 
monitoring committees to ensure that the programmes are on track to deliver the expected results. EMPL will also continue to  be 
actively  involved  in  the  9  transnational  thematic  networks249  set  up  in  2015.  Implementation  of  the  programmes  should  reach 
cruising  speed  in  2018  and  2019,  reinforcing  the  trend  observed  in  2016.  Project  selection  rates  and  payment  requests  should 
increase  steadily.  Furthermore  EMPL  will  continue  focusing  its  work  on  the  assessment  of  programme  amendment  requests 
submitted by Member States to ensure the policy and result-orientation of the ESF and YEI programmes.  

In  2019  the  Commission,  in  cooperation  with  the  Member  States,  will  also  review  the  performance  and,  where  relevant  when  a 
priority axis has not reached its milestone, assess the Member States’ proposals for reallocation. As of the second half of 2018, the 
negotiations on the future ESF+ should start and continue in 2019. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1304/2013  of the European Parliament and of the Council of 17 December 
2013 on the European Social Fund and repealing Council Regulation (EC) No 1081/2006 

2014 - 2020 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Total 
Programme 
92 830,7 

Total 
Of  which  Youth  Employment 
initiative to up allocation 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

11 386,5(*) 

1 706,6(*) 

13 452,1 

13 901,0 

13 666,0 

12 007,7 

15 023,9 

13 393,5 

1 504,6 

4 411,2 

350,0 

116,7 

233,3 

500,0 

0,0 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

13 424,002 

99,96 % 

6 735,204 

99,88 % 

13 490,008 

86,70 % 

10 557,598 

4,23 % 

Authorised appropriations (*) 

15 088,034 

99,96 % 

8 823,132 

87,92 % 

13 479,020 

86,77 % 

11 609,746 

11,99 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

249 The 9 thematic networks are the following: Partnership, Learning and Skills, Simplification, Inclusion, Employment, Youth, Social economy, Governance and 
Migration. 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 
The alignment of the 2007-2013 ESF with EU policy priorities has been sought by establishing thematic objectives and investment 
priorities closely aligned to Europe 2020 objectives. The 2014-2020 programmes are designed to be consistent with the European 
Semester priorities, taking into account the  national reform programmes, the most recent CSRs (and where relevant the economic 
adjustment programmes) and the use of thematic ex ante conditionalities. The Common Provisions Regulation for the 2014-2020 
programming period provides for flexibility to adjust programmes in the light of changing needs and new political priorities (such 
as new CSRs or for instance the need to further increase the focus on how to prepare for the transition to a low carbon, resource 
efficient economy). A review of the 2014-2020 framework would need to evaluate whether sufficient alignment with the EU policy 
priorities has been achieved250. 

Contribution to Europe 2020 priorities 
Smart growth: 22% (lines 04 02 60; 04 02 61; 04 02 62; 04 02 64) 
Inclusive growth: 78% (lines 04 02 60; 04 02 61; 04 02 62; 04 02 64) 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 
161.9 

DB 2019 
(EUR million) 
161.9 

Climate actions under ESF investment priorities 
Total 
Climate change expenditure within ESF can be tracked through the ESF secondary theme 01 'supporting the shift to a low-carbon, 
resource  efficient  economy'  indicated  in  the  Implementing  Regulation  (EU)  No  215/2014..The  intervention  fields  in  Annex  I  of 
Regulation  (EU)  No  215/2014  match  the  ESF  investment  priorities  defined  in  Article  3  of  the  ESF  Regulation.  Unlike  for  the 
ERDF categories of intervention which have the support to climate objectives as their primary objective, one cannot establish ex-
ante an automatic link between one ESF investment priority and the impact on climate objectives. 

Climate actions can be undertaken under the majority (if not all) of the ESF investment priorities (whether it is in the context of 
SME  support,  Vocational  Education  and  Training  systems,  life-long  learning,  youth  employment  measures,  etc.).  It  is  for  this 
reason  that  the  Commission  decided  to  use  for  the  ESF  an  additional  dimension  to  track  climate  change  expenditure:  the  ESF 
secondary theme. All expenditure under the ESF secondary theme has a 100% coefficient. 

For  the  programming  period  2014-2020,  Member  States  have  earmarked  in  their  operational  programmes  EUR  1.1  billion  (EU 
amount) for the shift to a low-carbon and resource efficient economy251. This represents a conservative estimate based on Member 
States' declarations in their operational programmes. 

In  their  operational  programmes,  Member  States  set  estimates  for  the  EU  share  and  not  for  the  EU  +  national  co-financing. 
However, reporting is done solely on the basis of total costs (EU + national). In order to follow progression towards the target, the 
ESIF  DGs  have  created  a  report  that  allows  for  the  systematic  application  of  the  co-financing  rate  from  the  programmes  to  the 
information declared in the  financial data. It provides a  more  accurate picture of the ESF contribution (EU only) to low-carbon, 
resource efficient economy and allowed for comparison with the amounts programmed.  

As  a  result,  by  end  of  December  2017,  already  above  EUR  542  million  of  eligible  ESF  expenditure  declared  (EU  share)  were 
reported by Member States as having contributed to the shift to a low carbon, resource efficient economy. This represents 46% of 
the amount set in the operational programmes. In terms of projects selected, the EU amount was already EUR 2.9 billion, which is 
more than double the amount set in the programmes.  

2014 
0* 

2014 – 2016 
2015 
22.5* 

2017-2018 estimates 

2016 
135.9* 

2017 
383.7* 

2018 
161.9 

2019-2020 programming 
2020 
2019 
161.9 
161.9 

Total 
2014-2020 
1027.8** 

* The allocations per year are based on information submitted through the financial data submitted in January 2018 for year 2017. 
** Compared with the estimates in the MTR, the total has been adjusted to data of implementation as received from Member States. 

EUR 1.1 billion are however still expected to be met in 2023. 
Note: This methodology is set out in the Commission' Implementing Regulation (EU) No 2015/2014.  

Gender mainstreaming 

Gender  mainstreaming  is  a  horizontal  principle  of  the  ESI  Funds.  The  Member  States  and  the  Commission  must  promote  it 
throughout  the  preparation, 
the  operational  programmes.  The  Annual 
Implementation  Reports  submitted  in  2017  had  to  assess  the  implementation  of  the  actions  addressing  this  principle.  Moreover, 

implementation,  monitoring  and  evaluation  of 

250 SWD(2016) 452 Ex-post evaluation of the 2007-2013 ESF programmes 
251 The commitment appropriations for the period 2014-2020 are estimated at EUR 1133.33 million. 

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under ESF, Member States have the obligation to programme targeted actions aimed at increasing the sustainable participation and 
progress of women in employment. The ESF has a dedicated investment priority for equality between men and women in all areas, 
including in access to employment, career progression, reconciliation of work and private life and promotion of equal pay for equal 
work.  Member States have earmarked EUR 1.6 billion for 2014-2020 (EU share) under this priority. 

Specific  targeted  actions  can  yet  be  programmed  under  any  other  ESF  investment  priority.  Across  all  investment  priorities,  the 
indicative amount for targeted actions for gender equality captured through the ESF secondary theme in programmes was of EUR 
4.7 billion (EU share). 

In their operational programmes, Member States set a target for the EU share and not for the EU + national co-financing. However, 
reporting is done solely on the basis of total costs (EU + national). In order to follow progression towards the target, the  ESIF DGs 
have created a  report that allows  for the  systematic  application of the co-financing rate from the programmes  to the  information 
declared in the financial data. It provides a more accurate picture of the ESF contribution (EU only) to gender equality. 

By end of December 2017, the volume of the projects supported under the dedicated gender equality investment priority (EU share) 
was about EUR 237 million of declared EU eligible expenditure. Under the other ESF investment priorities, an additional EUR 319 
million has been allocated to gender equality projects. In total, EUR 556 million under the ESF have effectively been dedicated to 
projects for gender equality between 2014 and 2017 (EU expenditure declared). In terms of selected projects, EUR 1.6 billion  have 
been committed to gender equality projects across all investment priorities. 

4. Performance information 

Specific objectives 

Specific Objective 1: Promoting sustainable and quality employment and supporting labour mobility* 
Indicator 1: Number of participants benefiting from ESF under this thematic objective 

Baseline 
2007 - 2013 

21,7 million cumulative 

Milestone 2018 

14,6 million cumulative 
Actual results 

2016 
4.1 

2017 
* 

Target 2023 

21,7 million 
cumulative 

2018 

2019 

2014 
0.45 

2015 
1 

*Information due mid-2018 
Note  1:  Due  to  the  multiannual  nature  of  the  programme  and  the  large  annual  variances,  comparing  to  a  full  programming  period  is  the  most 
relevant  indicator.  Based  on  the  first  two  reporting  by  all  MS  on  common  indicators  (2016  and  2017),  the  initial  milestone  and  target  are 
maintained. The target will be reviewed following the performance review. 
Note 2: "Number of participants" measures the number of participations per operation. Over the programming period, one person can participate 
in several ESF operations and be counted more than once. Compared to the 2007-2013 period definitions on the number of participations have 
been clarified to prevent double reporting of participations by the same individual in several activities within a single operation and to exclude 
indirect participants such as those benefiting from change in a system. 
Indicator 2: Participants (unemployed or inactive) in employment, including self-employment, upon leaving 

2014 
7.7% 

2015 
10.3% 

Milestone 2018 
24% 
Actual results 

Baseline 
Employment result 
estimate for participants in 
all activities 2007-2013 
period 14% 
*Information due mid-2018 
Note  1:  These  success  rates  are  reported  for  participants  in  all  investment  priorities.  Employment  results  depend  on  the  nature  of  IP  and 
interventions. For comparative purposes in Employment results for participations in 'Access to Employment' activities during  2007-2013 period 
were  28%,  while  for  'Human  capital  and  Social  Inclusion'  activities  employment  results  made  up  10%  and  26%  of  all  reported  results  and 
correspondingly lower employment rates. Based on the two first reporting by all MS on common indicators (2016 and 2017), the initial milestone 
and target are maintained. The target will be reviewed following the performance review. 
Note  2:  Rates  of  participants  gaining  employment  are  heavily  affected  by  the  overall  macroeconomic  environment.  Moreover,  a  slow  start  of 
implementation  can  also  have  an  incidence  on  results.  Given  the  length  of  the  operations  results might  only  become  available  at  a  later  stage. 
Based on the first two reporting by all MS on common indicators (2016 and 2017), the initial milestone and target are maintained. The target will 
be reviewed following the performance review. 

2016 
16.5% 

Target 2023 

2017 
* 

2018 

2019 

24% 

Expenditure related outputs 

Outputs 

Budget line 

Number of ESF participants (in million) 

04 02 60, 04 02 61, 04 02 62 

Draft Budget 2019 

Number 
2.8 million 

EUR million 
4 946 

Outputs 

Number  of  ESF  participants 
million) 

(in 

F* 
P 

Number of outputs foreseen (F) and produced (P) 

2014 
0.2 
0.6 

2015 
1.1 
1.4 

2016 
1.7 
2.0 

2017 
2.2 
** 

2018 
2.8 

2019 
2.8 

2020 
2.8 

2021 
2.8 

2022 
2.6 

2023 
2.6 

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* Based on the first two reporting by all MS on common indicators (2016 and 2017), the initial milestone and target are maintained. The target 
will be reviewed following the performance review. 
**Note concerning all tables for ESF and YEI indicators: For all ESF and YEI indicators, 2017 data will be submitted in May 2018 by MS. 
Specific Objective 2: Promoting social inclusion, combating poverty and any discrimination* 
Indicator 1: Participants considered as part of disadvantaged groups that are reached by the ESF 

Baseline 2007-2013252 

Average programming period 2007-
2013: 20.1% 
(Disabled, Migrants, Minorities & 
Others253) 

Milestone 2018 
40% 
Actual results 

2014 
39.8% 

2015 
43.1% 

2016 
40.4% 

2017 
** 

Target 2023 

2018 

2019 

40% 

**Information due mid-2018 
* It should be noted that these indicators cover all actions under all thematic objectives.  
Note 1: Only a very limited number of OPs have targets set specifically for these categories of disadvantaged groups, although the actual number 
of supported disadvantaged people is likely to be larger given the range of ESF interventions. Considering the ratio of all disadvantaged groups 
over  total  participants  (9.2%),  the  ratio  of  participants  to  the  thematic  objective  (TO9)  that  addresses  issues  of  social  exclusion,  poverty  and 
discrimination  (24.2%)  and  based  on  previous  results  from  the  2007-2013  programming  period,  EMPL  had  initially  put  20%  as  the  target  for 
2023, but reviewed the target upwards based on the first two reporting by all MS on common indicators (2016 and 2017). See note below. EMPL 
will revise the target again following the performance review.  
Note 2: The three ESF common output indicators (see footnote 9) representing disadvantaged target groups are not mutually excluding categories. 
One  participant  may  accumulate  multiple  disadvantages  (e.g.  disabled  person  with  a  foreign  background),  and  may  be  reported  to  one,  two  or 
three of the common output indicators. By adding up these indicators, participants, who accumulate multiple disadvantages and are reported to 
more  than  one  indicator,  are  counted  multiple  times.  Therefore,  both  the  target  and  the  actual  results,  calculated  by  the  addition  of  the  three 
indicators, represent the hypothetic maximum of the composite indicator that would correspond to the reality in case each participant reported to 
either of the 3 indicators would have only one single disadvantage and would be reported to only one of the three indicators. On the contrary, the 
hypothetic minimum of disadvantaged participants is obtained  by taking into account one single indicator among the three so that overlaps are 
excluded. For that the indicator with the highest value is taken, namely "other disadvantaged". They represented in 2014 17.1% of all participants 
and by 2015 cumulatively 19.0%. 
Note 3: Data related to the disadvantaged situation of participants is considered sensitive data in the sense of  Article 8 of the Directive on the 
protection  of  individuals  with  regard  to  the  processing  of  personal  data  and  on  the  free  movement  of  data  (OJ  No  L  46,  20.11.1995).  Hence 
recording these data is subject to very stringent data protection standards. Therefore, the data sets submitted for these indicators are likely to be 
underreported. 
Indicator 2: Inactive participants engaged in job searching upon leaving 

Baseline 

No data available from the 
previous period 

2014 
1.4% 

2015 
5.5% 

Milestone 2018 
27% 
Actual results 
2016 
6.8% 

2017 
* 

Target 2023 

2018 

27% 

*Information due mid-2018 
Note  1:  rates  of  participants  engaged  in  job  searching  upon  leaving  are  affected  by  the  slow  start  of  implementation.  Given  the  length  of  the 
operations results might only become available at a later stage. Based on the first two reporting by all MS on common indicators (2016 and 2017), 
the initial milestone and target are maintained. The target will be reviewed following the performance review. 
Indicator 3: Participants above 54 years of age. 

Baseline 2007-2013 

Average programming 
period 2007-2013: 6.2% 

Milestone 2018 
6% of all ESF participants 
Actual results 

2014 
4.8% 

2015 
5.5% 

2016 
5.9% 

2017 
* 

2018 

2019 

Target 2023 

6% of all ESF 
participants 

*Information due mid-2018 
Only a very limited number of OPs have targets set specifically for this category. The target set for 2023 is therefore based on the results of the 
indicator  "Older  people  (55-64  years)"  from  the  2007-2013  programming  period.  Based  on  the  first  two  reporting  by  all  MS  on  common 
indicators (2016 and 2017), the initial milestone and target are maintained. The target will be reviewed following the performance review. 

Expenditure related outputs 

Outputs 

Budget line 

Number of ESF participants (in million) 

04 02 60, 04 02 61, 04 02 62 

Draft Budget 2019 

Number 
2.5 million 

EUR million 
3 375 

Outputs 

Number  of  ESF  participants 
million) 

(in 

Number of outputs foreseen (F) and produced (P) 

2014 
0.2 

2015 
1 

2016 
1.5 

F* 

P 

0.2 

0.7 

0.8 

2017 
1.9 
Information 
due mid-
2018 

2018 
2.5 

2019 
2.5 

2020 
2.5 

2021 
2.5 

2022 
2.3 

2023 
2.3 

252 Annual Implementation Reports. 
253 Migrants, participants with a foreign background, minorities (including marginalised communities such as the Roma); Participants with disabilities; Participants 
who live in a single adult household with dependent children; Participants who live in jobless households; Other disadvantaged. These will be broken down by the 
different categories. Persons may cumulate several disadvantages. 

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* Based on the first two reporting by all MS on common  indicators (2016 and 2017), the initial milestone and target are maintained. The target 
will be reviewed following the performance review. 

Specific Objective 3: Investing in education, training and vocational training for skills and life-long learning* 
Indicator 1: Number of participants benefiting from ESF under this thematic objective 

Baseline 

23.8 million cumulative 

Milestone 2018 
15.9 million cumulative (2014-2018) 
Actual results 

2014 
0.18 

2015 
0.35 

2016 
1.9 

2017 
* 

Target 2023 

2018 

2019 

18 million cumulative 

*Information due mid-2018 
Note  1:  Compared  to  the  2007-2013  period  definitions  on  the  number  of  participations  have  been  clarified  to  prevent  double  reporting  of 
participations by the same individual in several activities within a single operation.  
Due  to  the  multiannual  nature  of  the  programme  and  the  large  annual  variances,  comparing  to  a  full programming  period  is  the  most  relevant 
indicator.  DG  EMPL  initially  set  23.8  million  as  a  target  for  2023,  based  on  elements  from  the  performance  of  the  2007-2013  programming 
period. These figures were revised downwards following the analysis of the AIRs 2016. EMPL will revise the planned outputs foreseen till the 
end of the period following the performance review. 
Indicator 2: Participants gaining a qualification upon leaving 

Baseline 

No data available from the 
previous period 

*Information due mid-2018 
Expenditure related outputs 

Milestone 2018 
48% 
Actual results 

2014 
18.8% 

2015 
20.4% 

2016 
21.1% 

2017 
* 

2018 

2019 

Target 2023 

48% 

Outputs 

Budget line 

Number of ESF participants (in million) 

04 02 60, 04 02 61, 04 02 62 

Draft Budget 2019 

Number 
2.3 million 

EUR million 
3 204 

Outputs 

Number  of  ESF  participants 
million) 

(in 

Number of outputs foreseen (F) and produced (P) 

2014 
0.2 

0.3 

F* 

P 

2015 
0.9 

0.5 

2016 
1.4 

1.1 

2017 
1.8 
Info mid-
2018 

2018 
2.3 

2019 
2.3 

2020 
2.3 

2021 
2.3 

2022 
2.2 

2023 
2.2 

* Based on the first two reporting by all MS on common indicators (2016 and 2017), the initial milestone and target are maintained. The target 
will be reviewed following the performance review. 

Specific Objective 4: Enhancing institutional capacity of public authorities and stakeholders and efficient public administration 
Indicator 1: Number of projects targeting public administrations or public services at national, regional or local level 

Baseline  

185 projects per year 

2014 
0 

2015 
31 

Milestone 2018 
900 projects (cumulative 2014-2018) 
2017 
* 

2016 
3 970 

2018 

Target 2023 

2019 

2020 

2 250 projects 

*Information due mid-2018 
Note  1:  The  baseline  provided  is  based  on  some  Programmes  of  the  2007-2013  programming  period.    The  related  figures  on  targets  and 
milestones were calculated on the basis of the initially 148 adopted OPs and extrapolated to the 187 OPs. They were maintained following the 
analysis of the first two reporting by all MS on common indicators (2016 and 2017). Concerning the low level of achievements, it should be noted 
that some MS have not made use of the possibility to report projects of partially implemented operation, as allowed for by the Regulation, thus 
delaying reporting till the full implementation of operation. EMPL will revise the target again following the performance review. 
Note 2: These projects can have a longer life-cycle. This can have an impact if MS decide to report on fully implemented operations only. 

Expenditure related outputs 

Outputs 

Budget line 

Number of projects 

04 02 60, 04 02 61, 04 02 62 

Draft Budget 2019 

Number 
225 

EUR million 
582 

Outputs 

Number of projects 

Number of outputs foreseen (F) and produced (P) 

2014 
225 

144 

F* 

P 

2015 
225 

2016 
225 

985 

2 841 

2017 
225 
Information 
due mid-2018 

2018 
225 

2019 
225 

2020 
225 

2021 
225 

2022 
225 

2023 
225 

* As explained above, the target number of projects was maintained, and the phasing was reviewed based on the AIR received in 2016. EMPL 
will revise the target again following the performance review. 

Specific Objective 5: Promoting specific support to young NEETs (15-24)* 
Indicator 1: Number of participants aged 15-24 benefiting from ESF 

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Baseline (period 2007-
2013) 

23,1 million cumulative 

2014 
0.33 

2015 
0.72 

Milestone 2018 

15,5 million cumulative (2014-2018) 
2017 
* 

2016 
3.1 

2018 

2019 

2020 

Target 2023 

23,1 million 
cumulative 

*Information due mid-2018 
Explanation  to  baseline  and  target:  Due  to  the  multiannual  nature  of  the  programme  and  the  large  annual  variances,  comparing  to  a  full 
programming period is the most relevant indicator. Based on the first two reporting by all MS on common indicators (2016  and 2017), the initial 
milestone and target are maintained but the target might be considered for downward revision following the performance review.  

* It should be noted that the output indicator 1 cover participants benefitting from ESF under all thematic objective whilst the other indicators (2 
to 5) refer exclusively to the YEI supported actions. In compliance with art 16 of the ESF Regulation (EU) No 1304/2013, Member States may 
decide to extend the YEI target group to include young persons under the age of 30. 
Indicator 2: Unemployed participants who complete the YEI supported intervention 

Baseline 

No baseline 

2014 
21 163 

2015 
144 502 

2016 
579 759 

Milestone 2016 
750 000 
2017 
* 

2018 

2019 

2020 

2.5 million* 

Target 2020 

*Information due mid-2018 
Note 1: Despite the increase of the pre-financing YEI implementation started slowly due, in particular, to the late designation of authorities. By 
end 2016, for 4 of the 34 operational programmes the designation package had still not been sent. Moreover, some large beneficiary Member 
States of the YEI have not made use of the possibility to report participants of partially implemented operation, as allowed for by the Regulation, 
thus delaying reporting till the full implementation of operation. 

Indicator 3: Unemployed participants in education/training, gaining a qualification or in employment, including self-employment, 
upon leaving the YEI supported intervention* 

Baseline 

No baseline 

2014 
8 843 

2015 
74 052 

2016 
266 754 

Milestone 2016 
347 000* 
2017 
* 

2018 

2019 

2020 

1,1 million* 

Target 2020 

*Information due mid-2018  
This indicator is not a direct subset of indicator 2 as it may also include participants who did not complete the intervention. 
Indicator 4: Inactive participants not in education or training who complete the YEI supported intervention 

Baseline 

No baseline 

2014 
6 527 

2015 
30 331 

2016 
132 474 

Milestone 2016 
220 000* 
2017 
** 

2018 

2019 

2020 

714 000* 

Target 2020 

Indicator  5: Inactive  participants  not  in  education  or  training  in  education/training,  gaining  a  qualification  or  in  employment, 
including self-employment, upon leaving the YEI supported intervention* 

Baseline 

No baseline 

2014 
2 395 

2015 
23 439 

2016 
79 320 

Milestone 2016 

107 000* 
2017 
** 

Target 2020 

2018 

2019 

2020 

345 000* 

**Information due mid-2018  
* Initial targets and milestones were calculated based on the initial allocation. It has been reviewed following the increase of the YEI in 2017. This 
indicator is not a direct subset of indicator 4 as it may also include participants who did not complete the intervention. 

Expenditure related outputs 

Outputs 

Budget line 

Number of participants 

04 02 60, 04 02 61, 04 02 62 

Draft Budget 2019 

Number 
337 500 

EUR million 

Outputs 

Number of participants 

Number of outputs foreseen (F) and produced (P) 

2014 
290 000 

2015 
580 000 

2016 
725 000 

184 000* 

317 000* 

583 000 

F 

P 

2017 
725 000 
Info due mid-
2018 

2018 
580 000 

2019 
337500 

2020 
337500 

*Implementation on the ground has faced some delays. A major problem identified was the lack of public funding to advance YEI activities. This 
was tackled by the increase of the YEI initial pre-financing in 2015.  

5. Programme contribution to the Sustainable Development Goals 

Sustainable  development  is  embedded  in  the  ESF's  mission.  Through  measures  investing  in  job  creation,  quality  employment, 
education,  and  combating  social  exclusion  and  discrimination,  which  also  target  the  most  marginalised  members  of  European 

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societies, the ESF contributes directly to ending poverty and hunger (SDG1 and 2) and ensuring healthy lives and promoting the 
well-being for all at all ages (SDG3). Furthermore: 

 

  The  ESF  can  help  job  creation  to  enhance  SDGs  in  particular  through  supporting  existing  companies  to  develop  their 
activities  in  the  environmental  sector,  enhancing  entrepreneurship  oriented  toward  the  green  economy  or  providing 
technical, administrative and financial support that encourages companies to provide ‘green jobs’, in particular to the most 
disadvantaged groups. Moreover, the ESF is the EU’s main fund to reduce the gap in living standards between regions and 
between people and to promote economic and social cohesion across Europe thus aiming to reduce inequality  within and 
among countries (SDG 10). 
Importantly, the ESF Regulation strongly reflects the EU’s commitment to eliminate inequalities between women and men 
following  a  combined  approach  of  gender  mainstreaming  and  specific  activities  for  women  in  different  fields  and  the 
principle of equality between the sexes is a key horizontal one of ESF programmes, thus contributing to achieving gender 
equality and empower all women and girls (SDG 5).  
In addition, ESF investments under Education Thematic Objective contribute to ensuring inclusive and equitable quality 
education  and  promote  lifelong  learning  opportunities  for  all  (SDG  4)  and  building  resilient  infrastructure,  promote 
inclusive  and  sustainable  industrialization  and  foster  innovation  (SDG  9),  by  supporting  the  development  of  necessary 
skills in the transition to a low carbon economy will have consequences for the labour market, for employment, and for the 
skills required for the new 'green' jobs and greening of existing jobs in the future. 

 

  ESF investment in the adaptation of workers and skilling is crucial, as jobs may be created, other jobs will be lost, and yet 
other  jobs  will  require  different  skills  as  they  are  “greened”  in  order  to  promote  sustained,  inclusive  and  sustainable 
economic  growth,  full  and  productive  employment  and  decent  work  for  all  (SDG  8)  and  make  cities  and  human 
settlements inclusive, safe, resilient and sustainable (SDG 11).  

  The  European Social Fund can support efforts to strengthen sustainable consumption and production patterns (SDG  12) 
and action to combat climate  change and its impacts (SDG 13) at all stages of life from raising children's' awareness in 
schools, to supporting trainings for green skills and green entrepreneurship and also social inclusion through green careers. 
  Finally, the ESF contributes to promoting peaceful and inclusive societies for sustainable development, providing access 
to justice for all and build effective, accountable and inclusive institutions at all levels (SDG 16) through investment under 
Institutional Capacity Thematic Objective. The ESF finances the strengthening of institutional capacity and the efficiency 
of  public  administration  with  a  view  to  reforms,  better  regulation  and  good  governance,  especially  in  the  economic, 
employment, education, social, environmental and judicial fields. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

In  a  period  of  severe  budgetary  constraints,  due  to  structural  and  contingent  reasons,  ESF  financial  instruments  represent  a 
resource-efficient way of deploying cohesion policy resources in pursuit of the Europe 2020 Strategy objectives, targeting projects 
with potential financial viability. 

For the current period, an improved regulatory framework and extended support activities (fi-compass platform) provide ground for 
a substantial increase in the role that financial instruments can play for achieving the goals of the ESF. 

The Commission has the objective to increase the use of financial instruments under the ESF in terms of budget, territorial coverage 
and types of investment. 

Financial instruments are not an alternative to the support provided by the European Social Fund but an additional arm helping to 
free  more  resources  to  pursue  the  same  goals.  Financial  instruments  can  be  co-funded  by  the  ESF  to  support  the  investment 
priorities outlined in the ESF Operational Programmes of the Member States and regions. 

However,  financial  instruments  which  take  the  form  of  loans,  guarantees  or  equity  (or  quasi-equity)  investments  remain  rather 
unusual  under  the  ESF.  The  design,  set-up  and  implementation  of  financial  instruments  require  new  forms  of  expertise  and 
significant  advisory  inputs,  which  in  turn  requires  strengthening  the  administrative  and  technical  capacity  of  ESF  managing 
authorities. 

The  main  types  of  funds  reported  by  managing  authorities  envisaged  loans  or  micro-loans  schemes.  As  in  the  previous 
programming  period,  the  use  of  financial  instruments  in  the  2014-2020  programming  period  concentrates  on  employment, 
entrepreneurship and business creation (thematic objective 8, mostly through support for individuals that are self-employed) and, to 
a lesser extent, on social inclusion (thematic objective 9, mainly through financial support for social entrepreneurship). The use of 
financial instruments for education and training (thematic objective 10) has not yet been reported on. 

The total value of operational programmes (OPs) contributions committed to the ESF FIs amounted to EUR 418 million including 
EUR 294 million of European Social Fund and EUR 26 million from the Youth Employment Initiative (YEI). 

A global amount of EUR 364,759,716.80 was committed under TO 8 and EUR 53,634,590.08 was committed under TO 9.   

The managing authorities of the European Social Fund (ESF) reported a total of 23 FIs (including 16 funds of funds and 7 specific 
funds)  created  at  the  end  of  2016.  Those  FIs  were  set-up  in  7  Member  States:  Bulgaria  (1  fund  of  funds),  Germany  (3  specific 
funds), Italy (3 specific funds), Lithuania (1 fund of funds), Hungary (1 fund of funds), Slovak Republic (1 fund of funds), Poland 
(12 fund of funds). They received financial support from 21 ESF operational programmes and 1 multi-fund OP. 

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This significant progress demonstrates that an improved regulatory framework and extended support activities provided ground for 
a substantial increase in the role that FIs can play in order to achieve the goals of the ESF.  

It should be also stressed that financial instruments cannot be taken as an alternative to ESF grants, due to the specific nature of 
ESF activities (small projects, difficult  target  groups, limited or no direct financial return on investment,  etc. all elements  which 
circumscribe  per se the use of FIs). Yet, for a  number of operations  with potential financial viability, they represent beyond any 
doubt a resource-efficient way of deploying cohesion policy resources in pursuit of the Commission political objectives. 

7. Programme related additional information 

Programmes' implementation 2014-2020 

Thematic objectives of the Common Strategic Framework 

Commitments 
2014-2020 
EUR million 
(1) 
32.628,9 
21.321,1 

Cumulative payments 
declared by Member-
states at end 2016 
(2) 
6.776,9 
3.791,1 

(2)/(1)% 

1.Promoting sustainable and quality employment and supporting labour mobility* 
2.Promoting social inclusion, combating poverty and any discrimination 
3. Investing in education, training and vocational training for skills and life-long 
learning 
4. Enhancing institutional capacity of public authorities and stakeholders and 
efficient public administration 
5. Promoting specific support to young NEETs (15-24) ** 
Technical Assistance*** 
TOTAL **** 
* Corresponding to Thematic Objective 8 in the Common Strategic Framework (CSF) although excluding the YEI specific allocation which is 
shown on a separate line (5.) 
**  These  appropriations  do  relate  to  the  YEI  specific  allocation  only.  This  objective  was  created  to  plan  and  report  on  the  YEI  results  in  the 
Management Plans and Annual Activity Reports although it does not exist in the CSF (part of Thematic Objective 8 in the CSF). 
***  Technical  assistance  of  the  Member  States  as  foreseen  by  Article  119 of  the  Common Provisions  Regulation  (CPR  -  Regulation  (EU)  No 
1303/2013) 

1.781,5 
690,9 
18.210,7 

4.411,2 
3.691,8 
92.811,7 

40.4% 
18.7% 
19.6% 

20.8% 
17.8% 

27.083,6 

4.858,8 

3.675,1 

17.9% 

311,5 

8.5% 

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HEADING 1B: Economic, social and territorial cohesion 

European Regional Development Fund (ERDF) 
Lead DG: REGIO 
Associated DGs: NEAR, SRSS 

I. Programme Overview 

What the programme is about ? 

The ERDF aims to strengthen economic and social cohesion in the European Union by reducing disparities between its regions and 
supporting the full integration of less developed regions within the EU's internal market.  

EU added value of the programme 

Solid evidence justifies an EU-level intervention to fulfil the long-term cohesion policy objectives. Cohesion Policy brings together 
different  governance  levels  at  European,  national  and  regional  level.  The  main  advantages  of  Cohesion  Policy  as  compared  to 
resources being spent solely by Member States are the following:   

Aligning  investment  to  EU  priorities:  Once  EU  priorities  are  agreed  by  all  Member  States,  Cohesion  Policy  can  ensure  that 
resources  are  aligned  with  and  concentrated  on  such  priorities  and  are  not  spread  across  too  many  issues  having  only  local  or 
regional  importance.  As  a  result  of  this  approach,  EU  priorities  are  given  preference  across  the  investment  fields  covered  by 
Cohesion  Policy,  often  influencing  national  investment  policies  thus  resulting  in  a  coordinated  EU-wide  action,  key  to  tackling 
global  challenges.  This  is  done  inter  alia  through  support  to  research  and  innovation,  the  competiveness  of  SMEs,  the  digital 
agenda, the shift towards a low-carbon economy and climate change, as well as new challenges such as migration. The policy also 
takes into account the priorities of other sectoral EU policies such as the TEN-T priorities and the European Energy Union where 
the completion of strategic EU infrastructure is essential for removing missing links and bottlenecks for the better functioning of 
the single market.  

Contributing to economic governance: having in place specific provisions designed to establish a close relationship between the 
ESIF  and  sound  economic  governance,  Cohesion  Policy  incentivises  (through  in-built  mechanisms  to  improve  fiscal  and 
macroeconomic  governance,  such  as  ex  ante  or  macroeconomic  conditionalities)  and  provides  concrete  support  for  structural 
reforms through its link (i.e. via programming or re-programming) to Country Specific Recommendations (CSRs) established in the 
framework  of  the  European  Semester.  Moreover,  empirical  evidence  suggests  that  the  ex-ante  conditionalities  introduced  in  the 
current programming period have played so far a significant role in improving application of EU legislation in Member States, as 
well as in fostering structural reforms. All these have played an important role for improving the overall investment climate in the 
Member States having a positive broader spill-over effect on investments beyond Cohesion policy. 

Cohesion  Policy  has  consistently  shown  a  continuous  drive  to  improve  its  result-orientation  across  successive  programming 
periods. In 2014-2020 the orientation towards results and impacts of the policy has been further  strengthened owing notably to the 
reinforced intervention logic underpinning investments, improvements in the indicator system and in reporting requirements. This 
period also saw the introduction of a performance framework linked to a 6% performance reserve designed to incentivise quality 
implementation. 

Multiannual  programming  provides  stability,  certainty  and  sustainability  to  investment  plans  in  MSs,  reducing  their 
vulnerability  across  economic  and  political  cycles  and  improving  prospects  for  implementation  on  the  ground.  The  multiannual 
nature of Cohesion Policy enhances managerial and institutional capacity, inducing  – through its delivery system and the support 
mechanisms  provided  by  the  Commission  –  institutional  and  administrative  change,  promoting  long-term  planning,  mobilising  a 
wide  range  of  partners,  diffusing  a  culture  of  evaluation  and  monitoring  of  public  policies,  and  reinforcing  control  and  audit 
capacities. This strengthened administrative capacity also positively influences the management of domestic policies and improves 
in general governance in MSs. 

The place-based approach of ERDF programming maximises the territorial dimension of the policy: in particular, it allows 1) the 
identification of development needs specific to each territory, 2) the definition of appropriate multithematic investment strategies 
aligned to EU priorities and 3) better conditions for sound implementation of those investments on the ground through mobilisation 
of national, regional and local players, as  well as civil society, thus ensuring  ownership of objectives and achievements. In this 
way,  the  efficiency  of  the  investments  in  regions  and  cities  can  be  strengthened  and,  consequently,  European  citizens  can 
experience the  positive effects of EU-policy in a very direct  way,  which in turn  favourably shapes  their  view of the EU and re-
establish their trust in the Union. The smart specialisation strategies, promoted by Cohesion policy are an excellent example of the 
benefits of this approach. 

Interregional cooperation and the exchange of experience: Cooperation - both cross-border and across the EU - is an area where 
the ERDF brings clear European added value. This applies not just to the European territorial cooperation (ETC), but across   the 
entire  Cohesion  Policy,  where  programmers  can  benefit  from  a  wider  exchange  of  experiences  and  practices  supported  by 
knowledge  sharing platforms and thus follow good practice examples and increase efficiency and effectiveness of investment. A 
clear added value is provided as  well by broader territorial strategies, the  so-called  macro-regional  strategies, such as  the Baltic, 
Danube, Adriatic and Ionian or Alpine strategies. 

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Concentration  of  resources  on  the  less  developed  and  transitional  regions:  Cohesion  Policy  supports  key  investments  which 
would  not  otherwise  take  place  in  poorer  regions.    Recent  data  show  that  the  ESIF  constitute  a  high  share  (up  to  60%,  re:  7 th 
Cohesion Report) of the public investments in a significant number of MSs over the period 2015-2017. This enhances the potential 
for jobs and growth and contributes to a more harmonious development of the Union as a whole. The Cohesion policy supports the 
development  of  the  Single  Market,  while  also  producing  spill-over  effects  from  less  developed  regions  to  the  rest  of  Europe, 
notably  via  increased  connectivity  and  trade  flows  (the  average  net  positive  impact  of  2007-2013  programmes  for  non-cohesion 
countries is estimated at 0.4% of GDP by 2023). 

Effective  pooling  of  resources  from  different  sources:  Cohesion  Policy  has  demonstrated  a  capacity  to  foster  the  pooling  and 
leveraging  of  finances  from  different  EU  and  national  sources  and  provides  a  clear  added  value  compared  to  purely  national 
resources. This is done through its investment framework that facilitates the combination of the ESIF and the European Fund for 
Strategic  Investments  (EFSI),  an  enhanced  use  of  financial  instruments,  as  well  as  effective  complementarities  with  other  EU 
funding instruments. 

II. Programme Update 

Implementation status (2014-2017)  

The ERDF is delivered through shared management in over 290 national, regional and Interreg programmes. The first years of a 
shared management programming period present three particular challenges:  

1)  There  are  recurrent  challenges  common  to  each  start-up  phase.  These  include  setting  the  ground  for  effective  and  efficient 
implementation  through:    mobilisation  of  stakeholders,  setting-up  of  IT  systems,  establishment  of  monitoring  committees, 
definition of selection criteria, launch of calls and the selection of projects for support. These tasks are time consuming and need to 
take place before implementation on the ground actually takes off. 

2)  The  implementation  of  new  reforms.  For  2014-2020,  innovations  included  the  national  designation  of  the  institutions  and 
systems to implement the programmes. Important new reforms also included performance specific reforms for the new period that 
took  time  to  be  fully  integrated  into  programming  including  the  introduction  of  the  ex  ante  conditionalities,  the  reinforced 
intervention logic and the negotiation of the performance framework. In addition, newly introduced regulatory provisions (e.g. N+3 
rule, the level of advance) have provided little incentives for the Member States to a fast start of the implementation. 

3) Finally, the closure of the 2007-2013 programmes - a critical moment of finalising investments coincided with the 2014-2020 
launch effort during the years 2014-2016. Intensive accelerated investment and preparing closure diverted the time and resources of 
the managing authorities from the launch of the new period.  

The two main new requirements for 2014-2020 were the ex-ante conditionalities and the designation process, which have by now 
been complied with, producing positive effects both on the quality and regularity of investments. Ex ante conditionalities are a key 
element of the 2014-2020 reform aimed at improving the effectiveness and efficiency of investment supported by the ESIFs as well 
as other public and private investments. They are preconditions attached to the programmes which help tackling the major systemic 
bottlenecks  hindering  effective  public  investment.  These  have  led  to  the  speeding  up  of  ongoing  reforms  and  the  initiation  of 
additional reforms. They have also strengthened the administrative capacity to implement EU rules relating to public procurement, 
state aid, environmental legislation and anti-discrimination. The designation process, which is a responsibility of Member States, 
has  continued  along  the  year  2017. While  delays  and  difficulties  were  noted  in  certain  Member  States  (i.e.  mobilising  technical 
assistance to solve technical issues related to IT systems, mobilising political channels, etc.), it can nonetheless be argued that these 
were no longer an obstacle to implementation by end 2017, as already designated OPs represented globally more than 98% of the 
total ERDF/CF allocation. This brings about reasonable confidence towards a smooth and sound implementation of the Cohesion 
Policy for the programming period 2014-2020. 

In assessing the early performance of the 2014-2020 ERDF programmes several elements need to be taken into account. In terms of 
tracking financial implementation, data on project selection rates and EU payment rates are available. Project selection rates have 
increased significantly since 2016 reaching 52.2% at end 2017, covering over 145,000 concrete projects. This corresponds to EUR 
128.4 billion at the end of 2017 already allocated to specific projects supporting the EU 2020 objectives for jobs and growth. The 
selection rate of operations provides a more comprehensive and accurate picture of implementation. Because of the specific nature 
of the ERDF  investments,  in  fact,  the level of  financial execution (EU payments)  is  not the  most appropriate indicator to assess 
progress in implementation at the beginning of the programming period when it tends to be low, as it was the case during the  years 
2014-2016.  This  applies  particularly  when  we  consider  Major  Projects  which,  due  to  their  nature  of  large  infrastructure 
investments,  have  typically  a  long  life  cycle  and  a  start-up  phase  (planning,  programming,  authorisations)  without  significant 
financial execution. Payments to programmes stand at 9.3% at end 2017.   

In terms of  tracking performance, indicator targets are set in ERDF programming documents and  forecasts  for indicators from 
selected operations and implemented values are reported on an annual basis. It is worth noting that there is always a time lag for 
investment  policies  between  selection  of  operations  and  implementation  on  the  ground.  Past  evidence  shows  that  the  bulk  of 
tangible achievements take place only in the second half of any programming cycle.  Many of the operations funded by ERDF, such 
as  infrastructural  investments,  have  a  long  implementation  cycle,  while  others  such  integrated  urban  development  investments 
require  comprehensive  administrative  organisations  and  arrangements  in  place  before  they  could  start.    The  nature  of  those 
investments explains the time gap between the start of operations and the reporting of achievement. 

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Key achievements  
The  evidence  from  financial  monitoring  in  2017  showed  that  the  project pipeline  further  accelerated,  with  EUR  128.4  billion  of 
investments (52.2% of the total for the period) allocated to specific projects by end-2017 compared to EUR 72.7 billion by end-
2016 (26.7% of total). The end-2017 data showed more homogeneous progress across most of the Member States and themes.  

The Commission has agreed with MSs end-of-period (2023) achievements targets  for ERDF common indicators and programme 
specific  indicators  and  receives  annual  monitoring  data  on  indicator  achievements.  The  legislation  did  not  require  the  setting  of 
annual targets or milestones. Indicator forecasts from the selection of projects provide important information on the project pipeline 
over the period and can be compared to the indicator targets. The data  from the second annual reporting exercise  with  the  most 
recent data from the end of 2016 (transmitted by the Member States to the Commission at the end of June 2017) are presented in 
the  performance  tables  below.  (N.B.  Target  setting  during  the  negotiations  was  challenging,  not  least  because  the  economic 
conditions following the recent economic crisis. Depending on the demand for different types of support and changing economic 
conditions the 2023 targets may need to be revised in dialogue with the Member States.)  

As regards ERDF achievements already reported by Member States up to end 2016, while implementation varies across and within 
Member States, in aggregate terms the actions financed have already delivered: 

•  Support to 84 579 enterprises, of which more than 36 000 are supported by financial instruments; 
•  More  than EUR 410 million of Private investment leveraged, matching public support to enterprises (grants); 
•  More than EUR 183 million of Private investment leveraged, matching public support to enterprises (non-grants); 
•  10 179 jobs created along with 636 new researchers employed; 
•  5 812 researchers working in improved research infrastructures; 
•  41 015 households with an improved energy consumption classification; 
•  14 943 216 kWh/year of decrease of annual primary energy consumption of public buildings; 
•  2.7 million people benefitting from improved health services; 
•  106 476 Hectares of habitats supported to attain a better conservation status; 
•  4.4 million people living in areas with integrated urban development strategies. 

Evaluations/studies conducted 

In  line  with  the  regulatory  requirements  all  the  operational  programmes  submitted  to  their  monitoring  committees  an  evaluation 
plan within one year from adoption.  In total, the programmes expect to carry out 1 500 evaluations for ERDF/CF. The number o f 
foreseen evaluations and, especially, impact evaluations is substantially larger than in the past programming period (around 1000 
impact  evaluations  vs  200).   The  large  increase  of  impact  evaluations  shows  the  greater  focus  on  programme  results  rather  than 
process and implementation aspects which were the main drivers of evaluations in the previous programming period. The analysis 
by operational programme of the foreseen impact evaluations per Thematic Objective suggests the average coverage is about 80%. 
It should be noted, however, that the actual contents of many evaluations are likely to be better defined over the years in line with 
programme developments and progress.  

Most of the evaluations will be carried out between 2018 and 2022. For the years 2018-2019, the focus will primarily be on the 
assessments of implementation and progress monitoring.   

The  majority  of  the  Member  States'  evaluations  identified  since  January  2015  are  ex-post  evaluations  of  the  2007-2013 
programming period. Concerning the 2014-2020 period, 65 of the 91 evaluations identified  are process/implementation oriented. 
The remaining 26 look mostly at the progress of the  programmes and do not yet allow  the assessment of the contribution of the 
programmes to the expected results. It is expected that evaluation evidence from the programmes on the 2014-2020 programming 
period will arrive starting in 2018. 

In addition to this, within the framework of its own evaluation activities, the Commission launched an evaluation of major projects 
supported by ERDF and the Cohesion Fund between 2000 and 2013 with a view to analysing the long term contribution of major 
investment  projects  on  economic  and  environmental  development,  the  quality  of  life  and  the  well-being  of  citizens.    The  policy 
areas to be evaluated include transport, environment, energy, information and communication infrastructure and research reflecting 
the importance of major projects as an instrument in those areas in two programming periods (2000-2006 and 2007-2013). Further 
to that, the Commission launched an ex post evaluation of the EU Solidarity fund since its establishment in 2002. In the course of 
2018 the Commission will carry out the mid-term review of JASPERS initiative during the 2014-2020 period. 

Forthcoming implementation (2018-2019)  

As the  main EU investment instrument  for supporting the delivery of Commission priorities, Cohesion Policy has become a key 
part  of  Europe's  economic  governance  and  an  increasingly  important  means  of  tackling  the  effects  of  the  economic  crisis  in  the 
short  term  and  of  enhancing  the  regions’  endogenous  potential  for  development  in  the  medium  term.  ERDF  interventions  are 
focusing  and  will  continue  to  focus  in  the  forthcoming  years  on  strengthening  the  basis  for  economic  competitiveness  and  job 
creation,  particularly  in  SMEs,  thanks  to  their  capacity  to  adjust  to  and  to  address  specific  national,  regional  and  local  contexts, 
with  all  levels  of  governance  joining  forces  to  contribute  to  our  shared  European  objectives.  In  doing  so,  they  contribute  to  the 
Investment Plan  for Europe and complement the European Fund  for Strategic Investments (EFSI). This  is being done in several 
ways:  by  leveraging  public  and  private  investment,  supporting  structural  reforms,  and  improving  access  to  funding.  ERDF 
investments will ultimately target boosting jobs, growth and investment across Europe, with a focus on the least developed areas. 

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They also contribute to addressing together shared challenges and exploiting common potential via territorial cooperation and the 
macro-regional strategies. 
To this end, funding is being strategically invested in research and innovation, support to small businesses and digital technologies, 
thereby contributing to the EU's smart growth objectives. Funding will also be essential for EU's sustainable  growth. Thanks to the 
highest  EU  budget  ever  allocated  to  investments  in  energy,  environment,  climate  and  sustainable  transport,  a  significant 
contribution to steering Europe on the path to a low-carbon economy is being made. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1301/2013 of the European Parliament and of the Council of 17 December 2013 
on the European Regional Development Fund and on specific provisions concerning the Investment for 
growth and jobs goal and repealing Regulation (EC) No 1080/2006 

2014 - 2020 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

Financial Programming (EUR million) 

Total 
Programme 
Total 
199 947,3 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

17 082,2(*) 

30 236,3 

32 012,3 

33 267,4 

26 935,9 

29 269,0 

31 144,1 

DB2019 

2018 

2017 

2020 

2014 

2016 

2015 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
29 407,342 

Impl. Rate 
99,92 % 

PA 
11 198,033 

Impl. Rate 
99,93 % 

CA 
30 375,631 

Impl. Rate 
98,96 % 

PA 
21 701,669 

Impl. Rate 
8,33 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

30 399,190 

14 753,097 

33 065,967 

21 708,559 

99,94 % 

98,96 % 

99,93 % 

8,34 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

Contribution to Europe 2020 priorities 
Smart growth: 28,58% (lines 13 03 60; 13 03 61; 13 03 62; 13 03 63; 13 03 64 01) 
Sustainable growth: 60,06% (lines 13 03 60; 13 03 61; 13 03 62; 13 03 63; 13 03 64 01) 
Inclusive growth: 11,36% (lines 13 03 60; 13 03 61; 13 03 62; 13 03 63; 13 03 64 01) 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Supporting the shift towards a low-carbon economy in all sectors 
Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Promoting climate change adaptation, risk prevention and management 
Preserving and protecting the environment and promoting resource efficiency 
Enhancing  the  competitiveness  of  SMEs,  of  the  agricultural  sector  (for  the  EAFRD)  and  of  the 
fishery and aquaculture sector (for the EMFF) 
All other thematic objectives 
Total 

 3 717.49  
 743.48  
 442.49  
 316.06  
 159.60  

 162.50  
 5 541.62  

 3 828.99  
 765.78  
 455.76  
 325.54  
 164.38  

 167.37  
 5 707.83  

The methodology used for estimating ERDF contribution to mainstreaming of climate action in 2018 and 2019 remains stable and 
coherent  with  last  year's  programme  statement.  As  explained  in  previous  programme  statement,  an  accurate  estimation  of  the 
contribution of  ERDF to the mainstreaming of climate action can be done globally, through the Member States' funding priorities 
as reflected by the categories of intervention, and expressed as a percentage of the budget to be made  available in 2018 (18,37%). 
This tracking methodology covers climate and biodiversity objectives, in line with regulatory requirements. The same percentage is 
applied uniformly to all relevant ERDF budget lines (13 03 60 - Less developed regions; 13 03 61 – Transition regions; 13 03 62 - 

206/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
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DB2019 

More developed regions; 13 03 63  - Additional allocation for outermost and sparsely populated regions; 13 03 64 01  - European 
territorial cooperation). 

Since  the  applicable  regulatory  requirements  do  not  allow  a  precise  calculation  of  the  contribution  to  mainstreaming  of  climate 
action per thematic (specific) objective, the split per specific objective provided above is only indicative. It results from a review of 
correspondence between categories of intervention and thematic objectives. 

As for the updated estimations related to past commitments, the contribution to mainstreaming of climate action has been revised as 
follows:  

2014 
 3 143.12  

2014 – 2016 
2015 
 6 121.20  

2016 
 4 956.21  

2017-2018 estimates 

2017 
 5 387.28  

2018 
 5 541.62  

2019-2020 programming 
2020 
2019 
 5 866.78  
 5 707.83  

Total 
2014-2020 
 36 724.04  

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Contribution to financing biodiversity 

Relevant objective/output 

Preserving and protecting the environment and promoting resource efficiency 
Promoting climate change adaptation, risk prevention and management 
Promoting sustainable and quality employment and supporting labour mobility 
Supporting the shift towards a low-carbon economy in all sectors 
Other thematic objectives: SMEs, sustainable transport, social inclusion and institutional capacity 
Total 

Budget 2018 
(EUR million) 
662.31 
205.78 
19.33 
9.66 
6.44 
903.53 

DB 2019 
(EUR million) 
682.18 
211.95 
19.91 
9.95 
6.64 
930.62 

The methodology used for estimating ERDF contribution to financing biodiversity in 2018 and 2019 remains stable and coherent 
with last year's programme statement.  As explained in previous programme statement, an accurate estimation of the contribution of 
ERDF to financing biodiversity can be done globally, through the Member States' funding priorities as reflected by the categories 
of  intervention,  and  expressed  as  a  percentage  of  the  budget  to  be  made  available  in  2018  (2,7%).  This  tracking  methodology 
covers climate and biodiversity objectives. The same percentage is applied uniformly to all relevant ERDF budget lines (13 03 60 - 
Less developed regions; 13 03 61 – Transition regions; 13 03 62  - More developed regions; 13 03 63  - Additional allocation for 
outermost and sparsely populated regions; 13 03 64 01 - European territorial cooperation). 

Since  the  applicable  regulatory  requirements  do  not  allow  a  precise  calculation  of  the  contribution  to  financing  biodiversity  per 
thematic  (specific)  objective,  the  split  per  specific  objective  provided  above  is  only  indicative.  It  results  from  a  review  of 
correspondence between categories of intervention and thematic objectives. 

As for the updated estimations related to past commitments, the contribution to financing biodiversity has been revised as follows:  

2014 
 512.47  

2014 – 2016 
2015 
 998.02  

2017-2018 estimates 

2016 
 808.08  

2017 
 878.36  

2018 
 903.53  

2019-2020 programming 
2020 
2019 
 956.54  
 930.62  

Total 
2014-2020 
 5 987.62  

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

4. Performance information 
General objectives 

General Objective 1: To reduce disparities between the levels of development of the various regions, in particular for rural areas, 
areas affected by industrial transition, and regions which suffer from severe and permanent natural or demographic handicaps and 
to  contribute  to  achieving  the  targets  set  out  in  the  Europe  2020  strategy  of  smart,  sustainable  and  inclusive  growth,  and  in 
particular towards the achievement of quantitative headline targets identified in that strategy 
Indicator 1: Employment rate by sex, age group 20-64 

Former situation* 

69.2 % (2013) 

Evolution 

71.1% (2016) 

Indicator 2: Gross domestic expenditure on R&D (GERD) 

Target 2020 
75 % of the population aged 20-64 should be 
employed by 2020 

Former situation* 

2.01 %  (2012) 

Evolution 

2.03 %  (2016) 

Target 2020 
3 % of the EU's GDP should be invested in R&D by 
2020 

Indicator 3: Greenhouse gas emissions, base year 1990 

Former situation* 

80.2  (2013) 
(index 1990 =100) 

Evolution 

77.4% (2016 prox estimates by EEA) 

Target 2020 
Reduction of the greenhouse gas emissions by 2020 
by 20 % (or even 30 %, if the conditions are right) 
compared to 1990 

207/555 

 
 
 
 
 
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Indicator 4: Share of renewables in gross final energy consumption 

Former situation* 

15 % (2013) 

Evolution 

16.7 % (2015) 

Target 2020 
Increase in the share of renewable energy sources in 
final energy consumption to 20 % by 2020 

Indicator 5: Energy intensity of the economy (proxy indicator for Energy savings, which is under development) 
Target 2020 

Evolution 

Former situation* 
Primary energy consumption: 1 569.1 
Mtoe (2013) 
Final energy consumption: 1 106.2 
Mtoe (2013) 

Primary energy consumption: 1 529.6 Mtoe (2015) 
Final energy consumption: 1 082.2 Mtoe (2015) 

20% increase in energy efficiency by 2020 
Primary energy consumption: 1 483 Mtoe (2020) 
Final energy consumption: 1 086 Mtoe (2020) 

Indicator 6: Early leavers from education and training by sex; Tertiary educational attainment by sex, age group 30-34 
Evolution 
11 % (2014) 
38,7 % (2014) 

Target 2020 
The share of early school leavers should be under 10 
% and at least 40 % of the younger generation 

Former situation* 
11,9 % (2013) 
37,1 % (2013) 

Indicator 7: People at risk of poverty or social exclusion 

Former situation* 
122.7 million  
(2013) 

Evolution 

118.0 million (2015, estimated) 

Target 2020 
20 million less than the 2005 baseline (124,3 
million) 

*  Source:  Eurostat.  Simulations  based  on  economic  models  (namely  QUEST  and  RHOMOLO)  suggest  a  positive  and  significant  impact  of 
cohesion  policy  interventions  on  GDP  and  employment  during  and  after  the  implementation  of  operational  programmes.  In  the  EU-12, 
programmes of the 2007-2013 period are expected to have increased the level of GDP by 2.7 % per year between 2007 and 2016 and employment 
by around 735 000 units. Programmes of the 2014-2020 period are expected to increase the level of GDP by 1.7 % per year between 2014 and 
2023 in the EU-12. However, it must be noted that the estimates of impact delivered are to a large extent dependent on the assumptions built into 
these models.  

Specific objectives 

Specific Objective 1: Strengthening research, technological development and innovation 
Indicator 1: Number of new researchers in supported entities 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
6 900 

2019 

2020 

Milestones foreseen 

174 

636 

Actual results 

Indicator 2: Number of enterprises cooperating with research institutions 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
16 900 

2019 

2020 

Milestones foreseen 

25 

5 631 

Actual results 

Indicator 3: Number of researchers working in improved research infrastructure facilities 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
15 500 

2019 

2020 

Milestones foreseen 

- 

5 812 

Actual results 

Indicator 4: Private investment matching public support in innovation or R&D projects 

Target 2023 

29 603 

Target 2023 

73 043 

Target 2023 

71 841 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

Milestones foreseen 

2019 

2020 

Target 2023 

Actual results 

10 420 491 982 

Indicator 5: Number of enterprises supported to introduce new to the market products 

2 518 646 

187 878 598 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

15 

713 

Actual results 

Indicator 6: Number of enterprises supported to introduce new to the firm products 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

20 

788 

Actual results 

Target 2023 

28 378 

Target 2023 

63 229 

208/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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DB2019 

* Milestone figures concerning indicators 4, 5 and 6 associated with specific objective 1 are not disclosed in the tables above, as the majority of 
the programmes did not include these indicators in the performance framework where milestones are set, therefore the milestone values available 
are not representative at EU level. 

the 

indicators 

the  "target"  values  and  "actual 

GENERAL NOTE FOR ALL INDICATORS TABLES 
In 
the  Open  Data  Platform 
tables  above, 
(https://cohesiondata.ec.europa.eu/).  They refer to the relevant common output indicators by end 2016, as reported by the Member States in the 
Annual Implementation Reports submitted in June 2017 (updated information with 2017 figures will be received in the Annual Implementation 
Reports in May 2018). As to the 2018 milestone values indicated, these refer to the same common output indicator as depicted in the performance 
frameworks contained in the Operational programmes. In all cases, caution should be applied as interventions tend to have a longer programme 
cycle (especially in cases of infrastructure interventions) – actual achievements may not be visible from the beginning. ERDF and CF only report 
on  fully  implemented  operations.  It  should  also  be  noted  that  all  data  reported  by  the  Member  States  in  the  Operational  programmes  is  of  a 
dynamic nature – by end 2017, certain values had been revised either because of reprogramming or due to manual corrections (clerical errors). 
This explains the changes in the target values for all the indicators above compared to last year. 

those  published  on 

results"  are 

Expenditure related outputs 
Budget lines:  13 03 60; 13 03 61; 13 03 62; 13 03 63; 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
53% 
NA* 
30,729 
NA* 

2016 
NA* 
27% 
NA* 
14 226 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

878 133 181,84  3 528 830 401.05 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 2: Enhancing access to, and use and quality of, information and communication technologies 
Indicator 1: Additional households with broadband access of at least 30 Mbps 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
3 000 000 

2019 

2020 

Milestones foreseen 

2 000 

7 144 

Actual results 

Target 2023 

14 564 260 

Expenditure related outputs 
Budget lines: 13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
47% 
NA* 
5 485 
NA* 

2016 
NA* 
18% 
NA* 
1 465 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

258 290 110,75  746 377 092.31 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 3: Enhancing the competitiveness of small and medium-sized enterprises 
Indicator 1: Number of enterprises receiving support 

Baseline 

0 (2014) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
209 200 

2019 

2020 

Milestones foreseen 

Indicator 2: Number of enterprises receiving grants 

28 593 

84 579 

Actual results 

Milestones foreseen 

2015 

2016 

2017 

2018 
* 

2019 

2020 

1 780 

10 179 

Actual results 

Indicator 3: Number of enterprises receiving financial support other than grants 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

6 266 

36 376 

Actual results 

Target 2023 

1 097 067 

Target 2023 

370 500 

Target 2023 

202 051 

209/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Baseline 

0 (2014) 

Baseline 

0 (2014) 

Target 2023 

451 443 

Target 2023 

153 621 

Indicator 4: Number of enterprises receiving non-financial support 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

34 827 
Indicator 5: Number of new enterprises supported 

19 911 

Actual results 

Milestones foreseen 

2015 

2016 

2017 

2018 
* 

2019 

2020 

3 244 

16 861 

Actual results 

Indicator 6: Private investment matching public support to enterprises (grants) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

Milestones foreseen 

2019 

2020 

Target 2023 

Actual results 

23 734 295 370 

Indicator 7: Private investment matching public support to enterprises (non-grants) 

77 343 232 

411 617 510 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

Actual results 

Target 2023 

7 923 450 321 

Indicator 8: Employment increase in supported enterprises 

35 484 003 

183 488 438 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
98 600 

2019 

2020 

Milestones foreseen 

3 891 

10 329 

Actual results 

Indicator 9: Increase in expected number of visits to supported sites of cultural and natural heritage and attractions 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
15 260 700 

2019 

2020 

Milestones foreseen 

- 

171 721 

Actual results 

Target 2023 

419 602 

Target 2023 

39 081 202 

* Milestone figures concerning indicators 2, 3, 4, 5, 6 and 7 associated with specific objective 3 are not disclosed in the tables above, as the 
majority of the programmes did not include these indicators in the performance framework where milestones are set, therefore the milestone 
values available are not representative at EU level. 

Expenditure related outputs 
Budget lines: 13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 

2016 
NA* 
40% 
NA* 
28 458 
NA* 

2017 
NA* 
64% 
NA* 
61 127 
NA* 

2018 
NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

2 445 595 546,72  5 562 900 503.23 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 4: Supporting the shift towards a low-carbon economy in all sectors 
Indicator 1: Additional capacity of renewable energy production (KM/MWH) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 800 

2019 

2020 

Milestones foreseen 

- 

13 

Actual results 

Indicator 2: Number of households with improved energy consumption classification 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
203 900 

2019 

2020 

Milestones foreseen 

18 770 

41 015 

Actual results 

Target 2023 

5 547 

Target 2023 

732 942 

210/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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Indicator 3: Decrease of annual primary energy consumption of public buildings 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 124 532 700 

2019 

2020 

Milestones foreseen 

294 197 

14 943 216 

Actual results 

Indicator 4: Number of additional energy users connected to smart grids 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

Indicator 5: Estimated annual decrease of GHG 

- 

1 974 

Actual results 

Milestones foreseen 

2015 

2016 

2017 

2018 
* 

2019 

2020 

13 246 

122 247 

Actual results 

Baseline 

0 (2014) 

Baseline 

0 (2014) 

Target 2023 

4 765 664 453 

Target 2023 

1 243 944 

Target 2023 

27 739 950 

* Milestone figures concerning indicators 4 and 5 associated with specific objective 4 are not disclosed in the tables above, as the majority of the 
programmes did not include these indicators in the performance framework where milestones are set, therefore the milestone values available are 
not representative at EU level. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
42% 
NA* 
16 163 
NA* 

2016 
NA* 
20% 
NA* 
4 912 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

659 853 154,75  1 980 760 734.50 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 5: Promoting climate change adaptation, risk prevention and management 
Indicator 1: Population benefiting from flood protection measures 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
4 652 000 

2019 

2020 

Milestones foreseen 

6 020 

14 323 

Actual results 

Indicator 2: Population benefiting from forest fire protection measures 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Target 2023 

7 606 314 

Target 2023 

6 461 731 

*  Milestone  figures  concerning  indicator  2  associated  with  specific  objective  5  are  not  disclosed  in  the  tables  above,  as  the  majority  of  the 
programmes did not include this indicator in the performance framework where milestones are set, therefore the milestone value available is not 
representative at EU level. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
53% 
NA* 
1 907 
NA* 
329 369 663.03 

2016 
NA* 
16% 
NA* 
659 
NA* 
84 450 341,19 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

211/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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Specific Objective 6: Preserving and protecting the environment and promoting resource efficiency 
Indicator 1: Additional waste recycling capacity 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
2 305 700 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 2: Additional population served by improved water supply 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 758 200 

2019 

2020 

Milestones foreseen 

- 

21 223 

Actual results 

Indicator 3: Additional population served by improved wastewater treatment 
Milestones foreseen 

Baseline 

2015 

2016 

2017 

2018 
1 550 400 

2019 

2020 

0 (2014) 

Actual results 

65 288 
Indicator 4: Total surface area of rehabilitated land 

- 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 5: Surface area of habitats supported to attain a better conservation status 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 060 700 

2019 

2020 

Milestones foreseen 

13 443 

106 476 

Actual results 

Target 2023 

2 532 608 

Target 2023 

4 563 643 

Target 2023 

8 539 195 

Target 2023 

88 187 

Target 2023 

17 992 953 

*  Milestone  figures  concerning  indicator  4  associated  with  specific  objective  6  are  not  disclosed  in  the  tables  above,  as  the  majority  of  the 
programmes did not include this indicator in the performance framework where milestones are set, therefore the milestone value available is not 
representative at EU level. 
It should also be noted that all data reported by the Member States in the Operational programmes is of a dynamic nature – by end 2015, certain 
values had been revised either because of reprogramming or due to manual corrections (clerical errors). This explains the changes in the target 
values for indicators 1, 2, 4 and 5 compared to last year. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

Number of outputs foreseen (F) and produced (P) 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

2016 
NA* 
16% 
NA* 
2 643 
NA* 
186 178 773,25 

2017 
NA* 
49% 
NA* 
8 957 
NA* 
1 129 459 924.20 

2018 
NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 7: Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Indicator 1: Total length of new railway line of which: TEN-T 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 2: Total length of reconstructed or upgraded railway line of which: TEN-T 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
560 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Target 2023 

580 km 
507 km (TEN-T) 

Target 2023 

4 293 km 
1 808 km (TEN-T) 

212/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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2019 

2020 

Target 2023 

1 440 km 
327 km (TEN-T) 

2019 

2020 

Target 2023 

Indicator 3: Total length of newly built roads of which: TEN-T 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

Milestones foreseen 

Actual results 

3 
- (TEN-T) 

12 
4 (TEN-T) 

Indicator 4: Total length of reconstructed or upgraded roads of which: TEN-T 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 000 

Milestones foreseen 

Actual results 

1  
- (TEN-T) 
Indicator 5: Total length of new or improved tram and metro lines 

114 
- (TEN-T) 

9 607 km 
127 km (TEN-T) 

Target 2023 

470 km 

Target 2023 

650 km 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
150 

2019 

2020 

Milestones foreseen 

Actual results 

- 
Indicator 6: Total length of improved or created inland waterway 

- 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

* Milestone figures concerning indicators 1, 3 and 6 associated with specific objective 7 are not disclosed in the tables above, as the majority of 
the programmes did not include these indicators in the performance framework where milestones are set, therefore the milestone values available 
are not representative at EU level. 
It should also be noted that all data reported by the Member States in the Operational programmes is of a dynamic nature – by end 2015, certain 
values had been revised either because of reprogramming or due to manual corrections (clerical errors). This explains the changes in the target 
values for indicators 1, 2, 3, 4 and 5 compared to last year. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
56% 
NA* 
3 403 
NA* 

2016 
NA* 
22% 
NA* 
531 
NA* 

2018 
NA* 

NA* 

NA* 

2019 
NA* 

NA* 

NA* 

819 247 294,63  2 952 557 450.26 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 8: Promoting sustainable and quality employment and supporting labour mobility 
Indicator 1: Employment increase in supported enterprises 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

2 537 

10 329 

Actual results 

Target 2023 

419 602 

* Milestone figures concerning indicator 1 above are not disclosed, as the majority of the programmes did not include this indicator in the 
performance framework where milestones are set, therefore the milestone value available is not representative at EU level 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
53% 
NA* 
2 440 
NA* 

2016 
NA* 
26 % 
NA* 
592 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

55 765 439.30  177 051 214.32 

2020 
NA* 

NA* 

NA* 

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* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 9: Promoting social inclusion, combating poverty and any discrimination 
Indicator 1: Population covered by improved health services 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
10 908 000 

2019 

2020 

Milestones foreseen 

Actual results 

- 
Indicator 2: Open space created or rehabilitated in urban areas 

2 674 577 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

31 020 

Actual results 

Indicator 3: Public or commercial buildings built or renovated in urban areas 
Milestones foreseen 

Baseline 

2015 

2016 

2017 

2018 
314 900 

2019 

2020 

0 (2014) 

Actual results 

3 146 
Indicator 4: Rehabilitated housing in urban areas 

- 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
2 200 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Target 2023 

41 653 944 

Target 2023 

29 252 562 

Target 2023 

2 226 287 

Target 2023 

17 056 

*  Milestone  figures  concerning  indicator  2  associated  with  specific  objective  9  are  not  disclosed  in  the  tables  above,  as  the  majority  of  the 
programmes did not include this indicator in the performance framework where milestones are set, therefore the milestone value available is not 
representative at EU level. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 

2016 
NA* 
12% 
NA* 
959 
NA* 

2017 
NA* 
44% 
NA* 
6 324 
NA* 

2018 
NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

140 104 164,71  784 796 799.90 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

Specific Objective 10: Investing in education, training and vocational training for skills and lifelong learning 
Indicator 1: Capacity of supported childcare or education infrastructure 

Baseline 

0 (2014) 

2014 

2015 

2016 

2017 

Milestones foreseen 

- 

2 039 

Actual results 

2018 
1 572 300 

2019 

Target 2020 

6 718 484 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
53% 
NA* 
16 786 
NA* 

2016 
NA* 
19% 
NA* 
597 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

124 786 169,45  605 636 169.18 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

2020 
NA* 

NA* 

NA* 

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Specific  Objective  11: Enhancing  institutional  capacity  of  public  authorities  and  stakeholders  and  an  efficient  public 
administration 
Indicator 1: Population living in areas with integrated urban development strategies 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

664 853 

4 421 045 

Actual results 

Target 2023 

41 238 776 

* Milestone figures concerning indicator 1above are not disclosed, as the majority of the programmes did not include this indicator in the 
performance framework where milestones are set, therefore the milestone value available is not representative at EU level. 

Expenditure related outputs 
Budget lines:  13 03 60, 13 03 61, 13 03 62, 13 03 63, 13 03 64 01 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
50% 
NA* 
1 248 
NA* 
61 865 748.24 

2016 
NA* 
29% 
NA* 
369 
NA* 
11 160 449,94 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes. 

5. Programme contribution to the Sustainable Development Goals 

Cohesion Policy is investing a large share of its envelope in both the 2007-2013 and 2014-2020 programming periods to encourage 
a  shift  towards  a  more  sustainable  mode  of  development  in  EU  regions.  To  this  end,  it  provides  support  for  the  production  of 
renewable  energy  and  for  improving  energy  efficiency,  for  mitigating  the  risks  of  natural  disasters  such  as  fires,  droughts  and 
floods, for installation of  main  water supply to improve  drinking  water quality and urban  waste  water treatment plants, for solid 
waste management and recycling schemes and contributing to the modernisation and resources efficiency of transport. The results 
of  these  interventions  foster  the  attainment  of  the  Commission  key  priorities  "Jobs,  Growth  and  Investment"  (circular  economy, 
transport) and "A Resilient Energy Union with a Forward-Looking Climate Change Policy" (notably in relation to renewables and 
energy efficiency).  

Based on the last figures reported by member States, ERDF and CF achievements in relation to sustainable growth have continued 
to progress. Due to the specificities of the programme cycle, the most significant reported achievements currently available  result 
from  the  implementation  of  the  2007-2013  programmes.  The  main  outcomes  reported  by  Member  states  up  to  end  2015  are 
illustrated under section III below.  

It  is  however  to  be  noted  that  important  contributions  also  result  from  the  work  carried  out  in  relation  to  several  ex-ante 
conditionalities for the 2014-2020 programmes, as  well as from the first stages of implementation of the new programmes, even 
though  they  are  not  yet  captured  by  the  common  indicator  data.  Information  concerning  the  selection  rate  currently  available  is 
presented above under each relevant specific objective, in the tables "expenditure-related outputs".   

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

The  data  reported  by  Member  States  in  relation  to  ERDF  and  CF  by  the  end  of  2015  demonstrate  a  positive  trend  in  setting  up 
financial  instruments  (FI)  for  the  first  years  of  programme  implementation.  Managing  authorities  in  21  Member  States  reported 
information concerning the progress in setting financial instruments covering 64 operational programmes. 65 financial instruments 
have received commitments from managing authorities. At least 12 of these instruments have made investments in final recipients. 
The  total  volume  of  operational  programme  contributions  committed  to  the  financial  instruments  at  end  2015  amounts  to  EUR 
5,571.63  million,  out  of  which  EUR  5,005.25  million  of  ERDF  and  CF.  EUR  1,169.41  million  (around  20%)  of  the  amounts 
committed has been paid to financial instruments, including EUR 1,102.17 million ERDF. Amounts committed to final recipients 
follow  closely  the  amounts  available  in  the  funds  with  EUR  1,033.67  million,  out  of  which  EUR  939.58  million  ERDF.  Out  of 
these committed amounts, EUR 98.56 million have been paid to final recipients, out of which EUR 91.21 million ERDF. 

Leverage of additional resources already reported in some financial instruments in the first reporting exercise demonstrates the role 
and  ability  of  ERDF  and  CF  to  mobilise  and  attract  private  capital  for  the  benefit  of  final  recipients  and  to  the  wider  Cohesion 
policy objectives. Based on the information provided, expected leverage for loans varies between 1.3 and 3.1, for equity leverage is 
expected between 1.3 and 4, while for the two guarantee instruments it is estimated that loans provided by commercial banks with 
the  support  of  the  guarantee  facility  will  be  4  to 5  times  higher  than  the  ERDF  contribution  to  the  guarantees.  Compared  to  the 
forecasts, the  evidence in a number of cases demonstrates a significantly higher leverage achieved as revealed in the  case of the 
'SME loan fund' in Schleswig-Holstein where leverage of additional resources is 4.8 in contrast to the expected effect of 2.2.   

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7. Programme related additional information 

Programmes' implementation 2014-2020 (Common Strategic Framework)* 

Thematic objectives of the Common Strategic Framework 

1.Strengthening research, technological development and innovation 
Outputs: 

2.Enhancing access to, and use and quality of, information and communication technologies 
Outputs: 
3.Enhancing the competitiveness of small and medium-sized enterprises 
Outputs: 
4.Supporting the shift towards a low-carbon economy in all sectors 
Outputs: 
5.Promoting climate change adaptation, risk prevention and management 
Outputs: 
6.Preserving and protecting the environment and  promoting resource efficiency 
Outputs: 
7.Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Outputs: 
8.Promoting sustainable and quality employment and supporting labour mobility 
Outputs: 
9.Promoting social inclusion, combating poverty and any discrimination 
Outputs: 
10.Investing in education, training and vocational training for skills and lifelong learning 
Outputs: 
11.Enhancing  institutional  capacity  of  public  authorities  and  stakeholders  and  an  efficient 
public administration 
Outputs: 
Other amounts not linked to the 11 thematic objectives above 

TOTAL 

Commitments254 
2014-2020 
EUR million 
(1) 

Cumulative 
payments declared 
by Member-states 
at end 2016 
(2) 

(2)/(1)  % 

 61 648.44  

 5 222.04  

8% 

 19 262.87  

 1 073.93  

6% 

 48 810.88  

 8 043.30  

16% 

 46 207.53  

 2 865.32  

 5 834.52  

 455.03  

 25 805.30  

 1 556.47  

6% 

8% 

6% 

 32 954.49  

 3 755.52  

11% 

 4 245.59  

 227.14  

 16 086.19  

 1 051.20  

5% 

7% 

 8 470.84  

 808.74  

10% 

 1 806.90  

 79.01  

4% 

 8 542.49  

 279 676.04  

 1 287.85  

 26 425.56  

15% 

9% 

*The data presented cover all adopted MS' Partnership Agreements, as well as all operational programmes.  

Information on the predecessor programme 2007 - 2013 
Expenditure related outputs 

Main expenditure related outputs 

Target value for the 2007-13 period 

Latest known value 
(End 2015) * 

97 414 
212 518 
4 696 

R&T-D 
Number of RTD projects 
Number of direct investment aid projects to SME 
Number of health projects 
Information society 
Number of information society projects 
Transport 
Number of transport projects 
Environment 
Number of waste projects 
Number of projects on improvement of air quality 
Number of risk prevention projects 
Energy 
Number of renewable energy projects 
39 523* 
In line with the regulatory requirements, the final achievements (referred to end 2015) resulting from the implementation of  2007-
2013 programmes were communicated by Member States in the framework of the closure process. These data have been submitted 
by end of March 2017 through the final reports on the period 2007-2013.  

94 130 
268 745 
2 357 

3 465* 
1 156* 
4 168* 

2 028 
990 
3 024 

49 704* 

9 048* 

47 402 

73 241 

5 536 

The data presented above correspond to aggregated figures as reported by Member States in the priorities of the programmes. They 
cover both ERDF as well as CF allocation, because the same programme may be funded both from ERDF and CF and the figures 
received by Member States relate to both ERDF and CF, as the core indicators cannot be split by priority.  
Programmes' implementation 2007-2013 (Common Strategic Guidelines) 

254 Total Commitment is the Total Funding amount i.e. Union support and National co-financing 

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The table below explains the programmes' implementation through the volume of EU support allocated to projects on the ground 
(after the selection process at national/regional level). The table is presented according to the headings of the Common Strategic 
Guidelines  adopted  for  the  2007-2013  programming  period  and  relates  to  both  ERDF  and  CF.  CF  is  included  only  in  the  first 
guideline: Attractive places to invest and work and the fifth:  Technical Assistance. These data  were submitted by Member States 
by end of March 2017 through the final reports on the period 2007-2013. 

Guidelines 

Improving  knowledge  and 

Guideline:  Attractive  places  to  invest  and 
work 
Rail 
Road 
Other transport 
Energy 
Broadband 
Environment 
Culture & social 
Guideline: 
innovation for growth 
Innovation& RTD 
Entrepreneurship 
ICT for citizens & business 
Other investments in enterprise 
Guideline: More and better jobs 
Human capital 
Labour market 
Social Inclusion 
Capacity Building 
Guideline: Territorial Dimension 
Territorial Dimension 
Guideline: Technical Assistance 
Technical assistance 
TOTAL 

1 

2 

3 

4 

5 

Planned EU 
investment 
(1) 

Allocated to 
selected projects 
at Member state level 
End 2014 

Allocated to 
selected projects 
at Member state level 
End 2015 
(2) 

(2)/(1)  % 

165 697,2 

182 879,4 

172 926,1 

104,4% 

23 144,4 
43 249,4 
16 061,8 
11 912,0 
2 384,1 
43 650,2 
25 295,5 

79 940,7 

46 962,8 
5 812,8 
11 606,9 
15 558,4 
2 570,9 
685,3 
659,6 
183,5 
1 042,6 
14 357,6 
14 357,6 
7 312,0 
7 312,0 
269 878,6 

23 940,4 
50 694,9 
17 125,1 
11 691,9 
2 638,2 
48 830,6 
27 958,4 

87 033,7 

50 726,2 
6 363,3 
11 997,0 
17 947,1 
2 242,4 
367,9 
350,8 
116,4 
1 407,2 
17 595,7 
17 595,7 
7 108,4 
7 108,4 
296 859,6 

22 884,5 
46 983,6 
16 610,7 
11 658,9 
2 089,9 
46 322,7 
26 375,8 

98,9% 
108,6% 
103,4% 
97,9% 
87,7% 
106,1% 
104,3% 

82 571,5 

103,3% 

47 323,2 
5 340,9 
12 069,1 
17 838,3 
3 678,6 
359,7 
345,1 
129,4 
2 844,3 
15 810,4 
15 810,4 
8 763,5 
8 763,5 
283 750,2 

100,8% 
91,9% 
104,0% 
114,7% 
143,1% 
52,5% 
52,3% 
70,5% 
272,8% 
110,1% 
110,1% 
119,9% 
119,9% 
105,1% 

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Cohesion Fund (CF) 
Lead DG: REGIO 
Associated DGs: SRSS 

I. Programme Overview 

What the programme is about? 

The ERDF/CF aims to strengthen economic and social cohesion in the European Union by reducing disparities between its regions 
and supporting the full integration of less developed regions within the EU's internal market.   

EU added value of the programme 

To be able  to deliver greater European added value, the  structural programmes need to both: a) concentrate  their support on EU 
priorities  and  b)  coordinate  with  other  EU  policies  and  financial  instruments.  The  Europe  2020  Strategy  provides  a  clear  set  of 
common objectives, including headline targets and flagship initiatives, as a clear framework for identification of funding priorities. 
There is broad consensus among stakeholders on the role of the different policies (Cohesion Policy, Rural Development Policy and 
Maritime and Fisheries Policy) in contributing to the achievement of the Europe 2020 Strategy. 

Concentrating funding on a smaller number of priorities better linked to the Europe 2020 Strategy, focusing on results, monitoring 
progress  towards  agreed  objectives,  increasing  the  use  of  conditionalities  and  simplifying  the  delivery  are  among  the  major 
hallmarks of the new Cohesion Policy. 

II. Programme Update 

Implementation Status (2014-2017) 

The  CF  is  delivered  through  shared  management.  The  first  years  of  a  shared  management  programming  period  present  three 
particular challenges:  

1)  There  are  recurrent  challenges  common  to  each  start-up  phase.  These  include  setting  the  ground  for  effective  and  efficient 
implementation  through:    mobilisation  of  stakeholders,  setting-up  of  IT  systems,  establishment  of  monitoring  committees, 
definition of selection criteria, launch of calls and the selection of projects for support. These tasks are time consuming and need to 
take place before implementation on the ground actually takes off. 

2)  The  implementation  of  new  reforms.  For  2014-2020,  innovations  included  the  national  designation  of  the  institutions  and 
systems to implement the programmes. Important new reforms also included performance specific reforms for the new period that 
took  time  to  be  fully  integrated  into  programming  including  the  introduction  of  the  ex  ante  conditionalities,  the  reinforced 
intervention logic and the negotiation of the performance framework. In addition, newly introduced regulatory provisions (e.g. N+3 
rule, the level of advance) have provided little incentives for the Member States to a fast start of the implementation. 

3) Finally, the closure of the 2007-2013 programmes - a critical moment of finalising investments coincided with the 2014-2020 
launch effort during the years 2014-2016. Intensive accelerated investment and preparing closure diverted the time and resources of 
the managing authorities from the launch of the new period.  

The two main new requirements for 2014-2020 were the ex-ante conditionalities and the designation process, which have by now 
been complied with, producing positive effects both on the quality and regularity of investments. Ex ante conditionalities are a key 
element of the 2014-2020 reform aimed at improving the effectiveness and efficiency of investment supported by the ESIFs as well 
as other public and private investments. They are preconditions attached to the programmes which help tackling the major systemic 
bottlenecks  hindering  effective  public  investment.  These  have  led  to  the  speeding  up  of  ongoing  reforms  and  the  initiation  of 
additional reforms. They have also strengthened the administrative capacity to implement EU rules relating to public procurement, 
state aid, environmental legislation and anti-discrimination. The designation process, which is a responsibility of Member States, 
has  continued  along  the  year  2017. While  delays  and  difficulties  were  noted  in  certain  Member  States  (i.e.  mobilising  technical 
assistance to solve technical issues related to IT systems, mobilising political channels, etc.), it can nonetheless be argued that these 
were no longer an obstacle to implementation by end 2017, as already designated OPs represented globally more than 98% of the 
total ERDF/CF allocation. This brings about reasonable confidence towards a smooth and sound implementation of the Cohesion 
Policy for the programming period 2014-2020. 

In assessing the early performance of the 2014-2020 ERDF/CF programmes several elements need to be  taken into account.  In 
terms of tracking financial implementation, data on project selection rates and EU payment rates are available. Project selection 
rates have  increased significantly since end 2016  reaching  64.3% at end 2017, covering  more than 8,400 concrete  projects. This 
corresponds to EUR 42.9 billion at the end of 2017 already allocated to specific projects supporting the EU 2020 objectives for jobs 
and growth. The selection rate of operations provides  a more comprehensive and accurate  picture of implementation. Because of 
the  specific  nature  of  the  CF  investments,  in  fact,  the  level  of  financial  execution  (EU  payments)  is  not  the  most  appropriate 
indicator to assess progress in implementation in the first years of the programming period when it tends to be low, as it was the 
case  during  the  years  2014-2016.    This  applies  particularly  when  we  consider  CF  projects  which,  due  to  their  nature  of  large 

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infrastructure  investments,  have  typically  a  long  life  cycle  and  a  start-up  phase  (planning,  programming,  authorisations)  without 
significant financial execution. For the above mentioned reasons, currently the selection rate of operations provides a more accurate 
picture of implementation. Payments to programmes stand at 15.6% at end 2017.    

In terms of tracking performance, indicator targets are set in CF programming documents and forecasts for indicators from selected 
operations and implemented values are reported on an annual basis. It is worth noting that there is always a time lag for investment 
policies  between  selection  of  operations  and  implementation  on  the  ground.  Past  evidence  shows  that  the  bulk  of  tangible 
achievements  take  place  only  in  the  second  half  of  any  programming  cycle.  Many  of  the  operations  funded  by  CF,  such  as 
infrastructural investments, have a long implementation cycle. The nature of those investments explains the time gap between  the 
start of operations and the reporting of achievements.   

Key achievements  

The  evidence  from  financial  monitoring  in  2017  showed  that  the  project  pipeline  further  accelerated,  with  EUR  42.9  billion  of 
investments (64.3% of the total for the period) allocated to specific projects by end-2017 compared to EUR 19.1 billion by end-
2016 (25.3% of total). The end-2017 data showed more homogeneous progress across most of the Member States and themes.  

The  Commission  has  agreed  with  MSs  end-of-period  (2023)  achievements  targets  for  ERDF/CF  common  indicators  and 
programme specific indicators and receives annual monitoring data on indicator achievements. The legislation did not require  the 
setting  of  annual  targets  or  milestones.  Indicator  forecasts  from  the  selection  of  projects  provide  important  information  on  the 
project pipeline over the period and can be compared to the indicator targets. The data from the second annual reporting exercise 
with the most recent data from the end of 2016 (transmitted by the Member States to the Commission at the end of June 2017) are 
presented  in  the  performance  tables  below.  (N.B.  Target  setting  during  the  negotiations  was  challenging,  not  least  because  the 
economic conditions following the recent economic crisis. Depending on the demand for different types of support and changing 
economic conditions the 2023 targets may need to be revised in dialogue with the Member States.)  

As regards CF achievements  already reported by Member States  up to end 2016, while  implementation  varies across  and  within 
Member States, in aggregate terms the actions financed have already delivered: 

•  Estimated annual decrease of greenhouse gas emissions of 1,004 tonnes of CO2eq; 
• 
Improved energy consumption classification for 833 households; 
•  Additional population of 135,032 served by improved water supply; 
•  Additional population of 7,840 served by improved waste water treatment; 
• 
•  625 Hectares of habitats supported to attain a better conservation status;  
•  54 km of new TEN-T roads and 217 km of reconstructed or upgraded roads; 
•  92 km of reconstructed or upgraded TEN-T railway line. 

Increase of waste recycling capacity of 2,187 tonnes/year; 

Evaluation/ Studies conducted 

In  line  with  the  regulatory  requirements  all  the  operational  programmes  submitted  to  their  monitoring  committees  an  evaluation 
plan within one year from adoption. In total, the programmes expect to carry out 1,500 evaluations for ERDF/CF. The number of 
foreseen evaluations and, especially, impact evaluations is substantially larger than in the past programming period (around  1,000 
impact  evaluations  vs  200).  The  large  increase  of  impact  evaluations  shows  the  greater  focus  on  programme  results  rather  than 
process and implementation aspects which were the main drivers of evaluations in the previous programming period. The analysis 
by operational programme of the foreseen impact evaluations per Thematic Objective suggests the average coverage is about 80%. 
It should be noted, however, that the actual contents of many evaluations are likely to be better defined over the years in line with 
programme developments and progress. Most of the evaluations will be carried out between 2018 and 2022. For the years 2018-
2019, the focus will primarily be on the assessments of implementation and progress monitoring.   

The  majority  of  the  Member  States'  evaluations  identified  since  January  2015  are  ex-post  evaluations  of  the  2007-2013 
programming period. Concerning the 2014-2020 period, 65 of the 91 evaluations identified are  process/implementation oriented. 
The remaining 26 look mostly at the progress of the  programmes and do not yet allow  the  assessment of the contribution of the 
programmes to the expected results. It is expected that evaluation evidence from the programmes on the 2014-2020 programming 
period will arrive starting in 2018. 

In addition to this, within the framework of its own evaluation activities, the Commission launched an evaluation of major projects 
supported by ERDF and the Cohesion Fund between 2000 and 2013 with a view to analysing the long term contribution of major 
investment  projects  on  economic  and  environmental  development,  the  quality  of  life  and  the  well-being  of  citizens.    The  policy 
areas to be evaluated include transport, environment, energy, information and communication infrastructure and research reflecting 
the importance of major projects as an instrument in those areas in two programming periods (2000-2006 and 2007-2013). Further 
to that, the Commission launched an ex post evaluation of the EU Solidarity fund since its establishment in 2002. In the course of 
2018 the Commission will carry out the mid-term review of JASPERS initiative during the 2014-2020 period. 

Forthcoming implementation (2018-2019)  

As the  main EU investment instrument  for supporting the delivery of Commission priorities, Cohesion Policy has become a key 
part  of  Europe's  economic  governance  and  an  increasingly  important  means  of  tackling  the  effects  of  the  economic  crisis  in  the 
short term and of enhancing the regions’ endogenous potential for development in the medium term. CF interventions are focusing 

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and will continue to focus in the forthcoming years on reducing the economic and social shortfall of Member States with a GNI per 
inhabitant of less than 90% of the EU average, as well as on stabilising their economy. This is being done by financing investments 
in  environment  (climate  change  adaptation  and  risk  prevention,  water  and  waste  sectors,  biodiversity  including  through  green 
infrastructures,  urban  environment  and  low  carbon  economy)  and  transport  (Trans-European  Transport  Networks,  low-carbon 
transport systems and urban transport).  

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1300/2013 of the European Parliament and of the Council of 17 December 
2013 on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006 

2014 - 2020 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Total 
Programme 
74 588,6 

Total 
Of  which  contribution 
Connecting Europe Facility (CEF) 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

7 092,4(*) 

11 049,0 

11 845,2 

11 390,2 

10 649,1 

11 108,6 

11 454,1 

11 277,5 

1 649,4 

1 774,4 

1 215,8 

2 372,4 

1 588,2 

1 694,4 

983,0 

the 

to 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

9 084,336 

100,00 % 

5 467,400 

99,96 % 

9 422,297 

99,78 % 

7 734,534 

16,52 % 

Authorised appropriations (*) 

10 217,730 

99,99 % 

6 712,156 

99,95 % 

9 422,738 

99,77 % 

7 737,056 

16,52 % 

(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
100% line 13 04 60 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Supporting the shift towards a low-carbon economy in all sectors 
Promoting climate change adaptation, risk prevention and management 
Preserving and protecting the environment and promoting resource efficiency 
Total 
The methodology used for estimating CF contribution to mainstreaming of climate action in 2017 (update) and 2018 remains stable 
and coherent with last year programme statement.   As explained in previous programme  statement, an accurate estimation of the 
contribution of CF to the mainstreaming of climate action can be done globally, through the Member States' funding priorities as 
reflected  by  the  categories  of  intervention,  and  expressed  as  a  percentage  of  the  budget  made  available  in  2016  (27,6%).  This 
tracking methodology covers climate and biodiversity objectives, in line with regulatory requirements. This percentage is applied to 
the relevant CF budget line (13 04 60). 

 1 305,65  
 1 089,93  
 418,08  
 240,28  
 3 053,94  

 1 353,52  
 1 129,89  
 433,41  
 249,09  
 3 165,91  

Since  the  applicable  regulatory  requirements  do  not  allow  a  precise  calculation  of  the  contribution  to  mainstreaming  of  climate 
action per thematic (specific) objective, the split per specific objective provided above is only indicative. It results from a review of 
correspondence  between  categories  of  intervention  and  thematic  objectives.  As  for  the  updated  estimations  related  to  past 
commitments, the contribution to mainstreaming of climate action has been revised as follows: 

2014 
 2 465,24  

2014 – 2016 
2015 
 3 148,25  

2017-2018 estimates 

2016 
 3 070,42  

2017 
 2 943,41  

2018 
 3 053,94  

2019-2020 programming 
2020 
2019 
 3 274,01  
 3 165,91  

Total 
2014-2020 
21 121,19 

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Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Contribution to financing biodiversity 

Relevant objective/output 

Preserving and protecting the environment and promoting resource efficiency 
Promoting climate change adaptation, risk prevention and management 
Others: low-carbon economy and promoting sustainable transport 
Total 
The  methodology  used  for  estimating  CF  contribution  to  financing  biodiversity  in  2017  (update)  and  2018  remains  stable  and 
coherent  with  last  year  programme  statement.    As  explained  in  previous  programme  statement,  an  accurate  estimation  of  the 
contribution of CF to financing biodiversity can be done globally, through the Member States' funding priorities as reflected by the 
categories  of  intervention,  and  expressed  as  a  percentage  of  the  budget  to  be  made  available  in  2017  (7,6%).  This  tracking 
methodology  covers  climate  and  biodiversity  objectives,  in  line  with  regulatory  requirements.  This  percentage  is  applied  to  the 
relevant CF budget line (13 04 60). 

Budget 2018 
(EUR million) 
615,29 
215,04 
4,44 
834,77 

DB 2019 
(EUR million) 
637,85 
222,92 
4,60 
865,38 

Since  the  applicable  regulatory  requirements  do  not  allow  a  precise  calculation  of  the  contribution  to  financing  biodiversity  per 
thematic  (specific)  objective,  the  split  per  specific  objective  provided  above  is  only  indicative.  It  results  from  a  review  of 
correspondence between categories of intervention and thematic objectives. 

As for the updated estimations related to past commitments, the contribution to financing biodiversity has been revised as follows: 

2014 
 673,85  

2014 – 2016 
2015 
 860,55  

2017-2018 estimates 

2016 
 839,27  

2017 
 804,56  

2018 
 834,77  

2019-2020 programming 
2020 
2019 
 894,92  
 865,38  

Total 
2014-2020 
 5 773,30  

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

4. Performance information 

General objectives 

General Objective 1: To reduce disparities between the levels of development of the various regions, in particular for rural areas, 
areas affected by industrial transition, and regions which suffer from severe and permanent natural or demographic handicaps  and 
to contribute to achieving the targets set out in the Europe 2020 strategy 
Indicator 1: Greenhouse gas emissions, base year 1990 

Former situation* 
80.2 (2013) 
(index 1990 =100) 

Evolution 

77.4% (2016 prox estimates by EEA) 

Target 2020 
Reduction of the greenhouse gas emissions by 20% by 
2020, compared to 1990 

Indicator 2: Share of renewables in gross final energy consumption 

Former situation* 

15 % (2013) 

Evolution 

16.7 % (2015) 

Target 2020 
Increase in the share of renewable energy sources in final 
energy consumption to 20% by 2020 

Indicator 3: Energy intensity of the economy (proxy indicator for Energy savings, which is under development) 
Target 2020 

Evolution 

Former situation* 
Primary energy consumption: 1 569.1 
Mtoe (2013) 
Final energy consumption: 1 106.2 
Mtoe (2013) 

Primary energy consumption: 1 529.6 Mtoe (2015) 
Final energy consumption: 1 082.2 Mtoe (2015) 

20% increase in energy efficiency by 2020 
Primary energy consumption: 1 483 Mtoe (2020) 
Final energy consumption: 1 086 Mtoe (2020) 

Specific objectives 
Specific Objective 1: Supporting the shift towards a low carbon economy in all sectors 
Indicator 1: Additional capacity of renewable energy production (KM/MWH) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 2: Number of households with improved energy consumption classification 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

42 

833 

Actual results 

Target 2023 

2 137 

Target 2023 

169 745 

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Indicator 3: Decrease of annual primary energy consumption of public buildings 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 4: Number of additional energy users connected to smart grids 

2015 

2016 

2017 

2018 
507 250  

2019 

2020 

Milestones foreseen 

- 
Indicator 5: Estimated annual decrease of GHG 

- 

Actual results 

Milestones foreseen 

2015 

2016 

2017 

2018 
* 

2019 

2020 

- 

1 004 

Actual results 

Baseline 

0 (2014) 

Baseline 

0 (2014) 

Target 2023 

556 040 590 

Target 2023 

2 029 000 

Target 2023 

5 432 269 

* Milestone figures concerning indicators 4 and 5 associated with specific objective 1 are not disclosed in the tables above, as their 
representativeness is presently below 33%.  

the 

indicators 

the  "target"  values  and  "actual 

GENERAL NOTE TO ALL INDICATORS TABLES 
the  Open  Data  Platform 
tables  above, 
In 
(https://cohesiondata.ec.europa.eu/).  They refer to the relevant common output indicators by end 2016, as reported by the Member States in the 
Annual Implementation Reports submitted in June 2017 (updated information with 2017 figures will be received in the Annual Implementation 
Reports in May 2018). As to the 2018 milestone values indicated, these refer to the same common output indicator as depicted in the performance 
frameworks contained in the Operational programmes. In all cases, caution should be applied as interventions tend to have a longer programme 
cycle (especially in cases of infrastructure interventions) – actual achievements may not be visible from the beginning. Values for ERDF and CF 
outputs refer to fully implemented operations as currently ERDF and CF only report on fully implemented operations255.  

those  published  on 

results"  are 

Expenditure related outputs 
Budget line: 13 04 60 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
73% 
NA* 
2 708 
NA* 

2016 
NA* 
20 % 
NA* 
680 
NA* 

2018 
NA* 

NA* 

NA* 

NA* 

NA* 

2019 
NA* 

79 736 394,13  505 322 462.21 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes, as these only include expected final outputs (captured by the indicators 
associated with the specific objective above) to be delivered by 2023. 

Specific Objective 2: Promoting climate change adaptation, risk prevention and management 
Indicator 1: Population benefiting from flood protection measures 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
2 462 800 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 2: Population benefiting from forest fire protection measures 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Target 2023 

5 678 433 

Target 2023 

5 330 000 

* Milestone figures concerning indicator 2 associated with specific objective 2 are not disclosed in the tables above, as the majority of the 
programmes did not include this indicator in the performance framework where milestones are set, therefore the milestone value available is not 
representative at EU level. 

Expenditure related outputs 
Budget line: 13 04 60 

255  Modification of the relevant legislation to allow reporting for partially implemented operations is on-going.  

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Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
60% 
NA* 
1 068 
NA* 
269 893 744.94 

2016 
NA* 
38 % 
NA* 
307 
NA* 
53 728 235,92 

2018 
NA* 

NA* 

NA* 

2019 
NA* 

NA* 

NA* 

2020 
NA* 

NA* 

NA* 

* No values for yearly outputs are defined for the 2014-2020 programmes, as these only include expected final outputs (captured by the indicators 
associated with the specific objective above) to be delivered by 2023. 

Specific Objective 3: Preserving and protecting the environment and promoting resource efficiency 
Indicator 1: Additional waste recycling capacity 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
1 635 500 

2019 

2020 

Milestones foreseen 

- 

2 187 

Actual results 

Indicator 2: Additional population served by improved water supply 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
765 000 

2019 

2020 

Milestones foreseen 

- 

135 032 

Actual results 

Indicator 3: Additional population served by improved wastewater treatment 
Milestones foreseen 

Baseline 

2015 

2016 

2017 

2018 
688 300 

2019 

2020 

0 (2014) 

Actual results 

Indicator 4: Total surface area of rehabilitated land 

- 

7 840 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Indicator 5: Surface area of habitats supported to attain a better conservation status 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
54 250 

2019 

2020 

Milestones foreseen 

- 

625 

Actual results 

Target 2023 

3 260 587 

Target 2023 

7 874 242 

Target 2023 

8 323 456 

Target 2023 

797 

Target 2023 

326 806 

* Milestone figures concerning indicator 4 associated with specific objective 3 are not disclosed in the tables above, as the majority of the 
programmes did not include this indicator in the performance framework where milestones are set, therefore the available milestone value is not 
representative at EU level.  

Expenditure related outputs Budget line: 13 04 60 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 
2017 
NA* 
59% 
NA* 
3 808 
NA* 

2016 
NA* 
24 % 
NA* 
1 003 
NA* 

2018 
NA* 

NA* 

NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

NA* 

NA* 

360 362 815,74  1 348 925 010.20 

* No values for yearly outputs are defined for the 2014-2020 programmes, as these only include expected final outputs (captured by the indicators 
associated with the specific objective above) to be delivered by 2023. 

Specific Objective 4: Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Indicator 1: Total length of new railway line 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

Milestones foreseen 

2019 

2020 

Target 2023 

Actual results 

64 Km (TEN-T) 

- 

- 

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Baseline 

0 (2014) 

Baseline 

0 (2014) 

Target 2023 

2 829 Km 
(TEN-T) 

Target 2023 

1681 Km 
(TEN-T) 

Indicator 2: Total length of reconstructed or upgraded railway line 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

2015 

2016 

2017 

2018 
260 

2019 

2020 

Milestones foreseen 

Indicator 3: Total length of newly built roads 

- 

92 (TEN-T) 

Actual results 

Milestones foreseen 

2015 

2016 

2017 

2018 
120 

2019 

2020 

Actual results 

Indicator 4: Total length of reconstructed or upgraded roads 

- 

54 (TEN-T) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
120 

Milestones foreseen 

2019 

2020 

Target 2023 

Actual results 

691 Km (TEN-T) 

88 (TEN-T) 
Indicator 5: Total length of new or improved tram and metro lines 

217 (TEN-T) 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
70 

2019 

2020 

Milestones foreseen 

Actual results 

- 
Indicator 6: Total length of improved or created inland waterway 

- 

Baseline 

0 (2014) 

2015 

2016 

2017 

2018 
* 

2019 

2020 

Milestones foreseen 

- 

- 

Actual results 

Target 2023 

210 

Target 2023 

327 

* Milestone figures concerning indicators 1 and 6 associated with specific objective 4 are not disclosed in the tables above, as the majority of the 
programmes did not include these indicators in the performance framework where milestones are set, therefore the available milestone values are 
not representative at EU level. 

Expenditure related outputs 
Budget line: 13 04 60 

Outputs 

Project selection rate (%) 

Number of projects selected 

Spending 

2014 
F  NA* 
P 
F  NA* 
P 
F  NA* 
P 

2015 
NA* 

NA* 

NA* 

Number of outputs foreseen (F) and produced (P) 

2016 
NA* 
25 % 
NA* 
247 
NA* 

2017 
NA* 
65% 
NA* 
485 
NA* 

2018 
NA* 

2019 
NA* 

2020 
NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

NA* 

2 996 098 909,83  6 984 868 830.99 

* No values for yearly outputs are defined for the 2014-2020 programmes, as these only include expected final outputs (captured by the indicators 
associated with the specific objective above) to be delivered by 2023. 

5. Programme contribution to the Sustainable Development Goals 
Cohesion Policy is investing a large share of its envelope in both the 2007-2013 and 2014-2020 programming periods to encourage 
a  shift  towards  a  more  sustainable  mode  of  development  in  EU  regions.  To  this  end,  it  provides  support  for  the  production  of 
renewable  energy  and  for  improving  energy  efficiency,  for  mitigating  the  risks  of  natural  disasters  such  as  fires,  droughts  and 
floods, for installation of  main  water supply to improve  drinking  water quality and urban  waste  water treatment plants, for solid 
waste management and recycling schemes and contributing to the modernisation and resources efficiency of transport. The results 
of  these  interventions  foster  the  attainment  of  the  Commission  key  priorities  "Jobs,  Growth  and  Investment"  (circular  economy, 
transport) and "A Resilient Energy Union with a Forward-Looking Climate Change Policy" (notably in relation to renewables and 
energy efficiency).  

Based on the last figures reported by member States, ERDF and CF achievements in relation to sustainable growth have continued 
to progress. Due to the specificities of the programme cycle, the most significant reported achievements currently available  result 
from  the  implementation  of  the  2007-2013  programmes.  The  main  outcomes  reported  by  Member  states  up  to  end  2015  are 
illustrated under section III below.  

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It  is  however  to  be  noted  that  important  contributions  also  result  from  the  work  carried  out  in  relation  to  several  ex-ante 
conditionalities for the 2014-2020 programmes, as  well as from the first stages of  implementation of the new programmes, even 
though  they  are  not  yet  captured  by  the  common  indicator  data.  Information  concerning  the  selection  rate  currently  available  is 
presented above under each relevant specific objective, in the tables "expenditure-related outputs" 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

The  data  reported  by  Member  States  in  relation  to  ERDF  and  CF  by  the  end  of  2015  demonstrate  a  positive  trend  in  setting  up 
financial  instruments  (FI)  for  the  first  years  of  programme  implementation.  Managing  authorities  in  21  Member  States  reported 
information concerning the progress in setting financial instruments covering 64 operational programmes. 65 financial instruments 
have received commitments from managing authorities. At least 12 of these instruments have made investments in final recipients. 
The  total  volume  of  operational  programme  contributions  committed  to  the  financial  instruments  at  end  2015  amounts  to  EUR 
5 571.63  million,  out  of  which  EUR  5 005.25  million  of  ERDF  and  CF.  EUR  1 169.41  million  (around  20%)  of  the  amounts 
committed has been paid to financial instruments, including EUR 1 102.17 million ERDF. Amounts committed to final recipients 
follow  closely  the  amounts  available  in  the  funds  with  EUR  1 033.67  million,  out  of  which  EUR  939.58  million  ERDF.  Out  of 
these committed amounts, EUR 98.56 million have been paid to final recipients, out of which EUR 91.21 million ERDF. 

Leverage of additional resources already reported in some financial instruments in the first reporting exercise demonstrates the role 
and  ability  of  ERDF  and  CF  to  mobilise  and  attract  private  capital  for  the  benefit  of  final  recipients  and  to  the  wider  Cohesion 
policy objectives. Based on the information provided, expected leverage for loans varies between 1.3 and 3.1, for equity leverage is 
expected between 1.3 and 4, while for the two guarantee instruments it is estimated that loans provided by commercial banks with 
the  support  of  the  guarantee  facility  will  be  4  to 5  times  higher  than  the  ERDF  contribution  to  the  guarantees.  Compared  to  the 
forecasts, the  evidence in a number of cases demonstrates a significantly higher leverage achieved as revealed in the  case of the 
'SME loan fund' in Schleswig-Holstein where leverage of additional resources is 4.8 in contrast to the expected effect of 2.2. 

7. Programme related additional information 

Programmes' implementation 2014-2020 (Common Strategic Framework)* 

Thematic objectives of the Common Strategic Framework 

1.Supporting the shift towards a low carbon economy in all sectors 
Outputs: 
2.Promoting climate change adaptation, risk prevention and management 
Outputs: 
3.Preserving and protecting the environment and promoting resource efficiency 
Outputs: 
4. Promoting sustainable transport and removing bottlenecks in key network infrastructures 
Outputs: 
5.  Enhancing  institutional  capacity  of  public  authorities  and  stakeholders  and  an  efficient 
public administration 
Outputs: 
Other amounts not linked to the 11 thematic objectives above 

TOTAL 

Commitments 
2014-2020 
EUR million  (1) 

 9 685.99  

Cumulative payments 
declared by Member-
states at end 2016 (2) 
 614.38  

 4 405.44  

 317.52  

 20 111.60  

 1 595.38  

(2)/(1)% 

6% 

7% 

8% 

 38 730.02  

 8 337.54  

22% 

 2 494.17  

 75 427.22  

 532.31  

 11 397.13  

21% 

15% 

* The data presented cover all adopted MS' Partnership Agreements, as well as all operational programmes. 

Information on the predecessor programme 2007 – 2013 
Expenditure related output not linked to a specific objective 

Main expenditure related outputs 

Target value for the 2007-13 period 

Latest known value 
(End 2015)* 

Transport 
Number of transport projects 
Environment 
Number of waste projects 
Number of projects on improvement of air quality 
Number of risk prevention projects 
Energy 
Number of renewable energy projects 
25 562 
In line with the regulatory requirements, the final achievements (referred to end 2015) resulting from the implementation of  2007-
2013 programmes were communicated by Member States in the framework of the closure process. These data have been submitted 
by end of March 2017 through the final reports on the period 2007-2013.  
The data presented above correspond to aggregated figures as reported by Member States in the priorities of the programmes. They 
cover both CF as well as ERDF allocation, because the same programme may be funded both from ERDF and CF and the figures 
received by Member States relate to both ERDF and CF, as the core indicators cannot be split by priority. 

1 665 
1 025 
2 225 

1 475 
2 467 
2 883 

81 070 

7 266 

6 069 

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Programmes' implementation 2007-2013 (Common Strategic Guidelines) 
The table below explains the programmes' implementation through the volume of EU support allocated to projects on the ground 
(after the selection process at national/regional level). The table is presented according to the headings of the Common Strategic 
Guidelines  adopted  for  the  2007-2013  programming  period  and  relates  to  both  ERDF  and  CF.  CF  is  included  only  in  the  first 
guideline: Attractive places to invest and work and the fifth: Technical Assistance. These data were submitted by Member States by 
end of March 2017 through the final reports on the period 2007-2013. 

Guidelines 

Guideline:  Attractive  places  to  invest 
and work 
Rail 
Road 
Other transport 
Energy 
Broadband 
Environment 
Culture & social 
Guideline:  Improving  knowledge  and 
innovation for growth 
Innovation & RTD 
Entrepreneurship 
ICT for citizens & business 
Other investments in enterprise 
Guideline: More and better jobs 
Human capital 
Labour market 
Social Inclusion 
Capacity Building 
Guideline: Territorial Dimension 
Territorial Dimension 
Guideline: Technical Assistance 
Technical assistance 
TOTAL 

1 

2 

3 

4 

5 

Planned EU 
investment 
(1) 

Allocated to 
selected projects 
at Member state level 
End 2014 
(million) 

Allocated to 
selected projects 
at Member state level 
End 2015 
(million) (2) 

(2)/(1)% 

138 017,6 

23 144,4 
43 249,4 
16 061,8 
11 912,0 
- 
43 650,2 
- 

- 
- 
- 
- 

- 
- 
- 
- 

152 282.8 

23 940,4 
50 694,9 
17 125,1 
11 691,9 

48 830,6 
- 

- 
- 
- 
- 

- 
- 
- 
- 

144 460,4 

104,7% 

22 884,5 
46 983,6 
16 610,7 
11 658,9 

46 322,7 

98,9% 
108,6% 
103,4% 
97,9% 
- 
106,1% 
- 

- 
- 
- 
- 

- 
- 
- 
- 

- 
7 312,0 
7 312,0 
145 745,8 

- 
7 108,4 
7 108,4 
159 390.3 

8 763,5 
8 763,5 

- 
119,9% 
119,9% 
109,4% 

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HEADING 1B: Economic, social and territorial cohesion 

Fund for European Aid to the Most Deprived 
Lead DG: EMPL 

I. Programme Overview 

What the programme is about? 

The  Fund  for  European  Aid  to  the  Most  Deprived  (FEAD)  supports  EU  countries'  actions  to  provide  assistance  to  the  most 
deprived. This includes food, clothing and other essential items for personal use, e.g. shoes, soap and shampoo. Material assistance 
needs  to  go  hand  in  hand  with  social  inclusion  measures,  such  as  guidance  and  support  to  help  people  out  of  poverty.  National 
authorities may also support stand-alone social inclusion measures that help the most deprived people integrate better into society. 
The  FEAD  complements  existing  cohesion  instruments,  in  particular  the  ESF,  by  providing  assistance  to  those  who  are  too 
excluded, too far from the labour market to benefit from the activation measures of the ESF. 

EU added value of the programme 

The Europe 2020 strategy for smart, sustainable and inclusive growth is based on a balanced vision of economic growth and social 
progress based on ambitious targets for employment, education and for poverty reduction. Poverty and social exclusion are major 
obstacles to the achievement of the Europe 2020 objectives. 

By addressing basic needs, the instrument helps moderate the effects of poverty and social exclusion of people who find themselves 
in  situations  of  severe  deprivation.  By  enabling  the  most  deprived  members  of  the  society  to  maintain  their  dignity  and  human 
capital it should contribute to strengthening of social capital and social cohesion within their communities. 

The interim results of the ongoing mid-term evaluation of FEAD show that there are clear volume effects in a number of MS where 
the FEAD fills a gap in national coverage. In Finland, Italy, Lithuania and Slovakia, FEAD is the only source of food aid. Even in 
MS with established channels for food aid, FEAD is an additional source of funding and can bring additional products to the end 
recipients  (volume  effect).    Moreover  there  is  evidence  of  process  effects  in  improved  partnerships  between  NGOs  and  central 
administrations in the delivery of food and material aid. The additional volume of food to be distributed also means  that partner 
organisations have expanded their capacity and increased their range of skills to include accompanying measures. 
II. Programme Update 

Implementation Status (2014-2017) 

2016-2017 saw the rollout of FEAD operational programmes on the ground. By the end of 2017 FEAD was achieving results in the 
vast majority of Member States both in terms of provision of material assistance, as well as social inclusion activities for the most 
deprived  persons.  In  June  2017  Member  States  submitted  their  annual  implementation  reports  for  2016,  which  show  continuous 
progress in the implementation of programmes. These reports show that in 2016 it is estimated that 15.3 million persons benefitted 
from food support operations, over 660 000 persons received basic material assistance and close to 23 000 people involved in social 
inclusion  activities  under  the  dedicated  social  inclusion  operational  programmes.  Over  377  000  tonnes  of  food  co-financed  by 
FEAD were distributed to the most deprived. 

The implementation on the ground of the FEAD is also reflected in the financial indicators: by 31/12/2017 the Commission  had 
made  payments  in  the  amount  of  EUR  1.02  billion,  out  of  which  EUR  602.8  million  in  the  form  of  interim  payments  and  EUR 
419.5 million in the form of pre-financing. The outputs and results described above indicate that FEAD objectives are on track to be 
achieved  and  that,  in  spite  of  having  a  small  budget,  the  FEAD  complements  national  efforts  to  eradicate  poverty  and  promote 
social inclusion. It is furthermore a key tool to intercept situation of extreme poverty as well as build-up partnership and networks, 
raise awareness and share knowledge among operators. 

Key achievements  

The 2016 implementation reports point towards the following programme achievements: 
 

It is estimated that in 2014-16 there were 37.1 million cases of participation in food support operations, 0.7 million cases of 
provision of basic material assistance and close to 23 000 participants in social inclusion activities. 50 % of the end recipients 
are  estimated  to  be  women,  close  to  30  %  children  aged  15  or  below  and  more  than  11%  are  migrants,  participants  with  a 
foreign background or minorities (including marginalised communities such as the Roma).  

  Almost 940 000 tonnes of food were distributed cumulatively until end of 2016. 

By the end of 2017, 8 FEAD Network meetings had taken place, dedicated to different aspects of FEAD, including social inclusion, 
outreach  to  the  most  deprived,  and  preventing  food  waste.  The  meetings  allowed  participants  to  present  case  studies,  share 
challenges and solutions on issues of common interest in the delivery of FEAD activities. 

Evaluations/studies conducted  

Following  the  Regulation  requirements,  Managing  Authorities  implementing  Food  and/or  basic  material  assistance  operational 
programme  (OP  I)  carried out  a  structured  survey  on  end  recipients  in  2017.The  Commission  is  expecting  to  receive  the  results 
these surveys during Q1 2018.  

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The  mid-term  evaluation  of  FEAD  is  ongoing,  to  be  presented  to  the  European  Parliament  and  to  the  Council  by  31  December 
2018. The interim results show that: 
 
 

the fund is effective at alleviating food deprivation and contributing to social inclusion. 
stakeholders value and stress the need to preserve the fund specific aspects such as flexibility and generally the less stringent 
administrative  requirements  compared  to  the  mainstream  ESF  programmes,  along  with  the  established  networks  and 
operational  delivery  modes.  Low  thresholds  allow  aid  to  be  provided  to  persons  not  reached  by  the  social  services  such  as 
homeless,  new  or  undocumented  migrants  or  elderly  people  at  the  risk  of  poverty.  It  also  allows  responding  quickly  to 
emerging needs and crisis situations. The delivery of aid is mostly based on NGOs relying on volunteers and generally cost-
efficient.  Much  of  the  administrative  burden  stems  from  requirements  imposed  at  MS  level,  such  as  narrow  definitions  on 
eligibility.  
stakeholders also state that food and material  assistance delivered through FEAD alone is not sufficient to lift end recipients 
out of poverty and therefore accompanying measures are considered useful, even if they are quite restricted and are limited to 
5%  of  the  overall  programme  costs.  Conversely,  it  was  noted  that  MS  implementing  only  social  inclusion  activities  under 
FEAD  see  a  need  to  also  deliver  material  aid  in  order  to  alleviate  immediate  needs  of  the  end  recipients,  supporting  the 
potential for wider interaction with the ESF while maintaining the fund specific flexibility and established delivery networks. 
another area identified by the evaluation as having a high potential to scale up the amount of food distributed is more funding 
for the collection, storage and distribution of food donations. 

 

 

Forthcoming implementation (2018-2019)  

In 2018/2019 it is expected that implementation of the FEAD in Member States will continue to increase and progress smoothly. 
The programmes are expected to continue to support around 15 million people annually, reaching out to the most vulnerable. 

The Commission plans to adopt the summary of the 2016 FEAD annual implementation reports in 2018. The document will contain 
information about the implementation of FEAD programmes at the end of 2016. A number of events have been planned as part of 
the  FEAD  Network  as  to  facilitate  the  exchange  of  practices  and  knowledge  sharing  between  Member  States.  Moreover,  in  the 
context of the FEAD Network, further communication/dissemination activities are taking place, such as study visits, elaboration of 
thematic dossiers on topics related to the scope of FEAD, as well as elaboration and publication of catalogues on case studies. In 
addition, the Commission organises an annual meeting with the EU level organisations representing the partners at national level. 
The  Commission  will  also  organise  at  least  2  meetings  of  the  FEAD  expert  group256  per  year  in  order  to  present  guidance  and 
discuss issues relating to the implementation of the FEAD. 

III. Programme key facts and performance framework 
1. Financial programming 

Regulation (EU) No 223/2014 of the  European Parliament and of the Council of 11 March 
2014 on the Fund for European Aid to the Most Deprived 

2014 - 2020 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

Total 

502,0 

536,6 

535,1 

546,3 

556,9 

567,8 

579,7 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Total 
Programme 
3 824,5 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
546,257 

Impl. Rate 
99,91 % 

PA 
291,430 

Impl. Rate 
99,87 % 

CA 
556,875 

Impl. Rate 
84,45 % 

PA 
401,400 

Impl. Rate 
19,48 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

97,61 % 

84,45 % 

20,74 % 

99,91 % 

556,875 

298,156 

552,696 

408,107 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 
20 million less people should be at risk of poverty 
100% line 04 06 01 

Gender mainstreaming 
Article 5(11) of the FEAD Regulation obliges Member States to ensure that equality between men and women and the integration 
of the gender perspective are taken into account during the various stages of programme implementation. Based on the information 
provided  in  the  2015  implementation  reports,  47%  of  all  persons  who  benefited  from  FEAD  in  2015  are  women  (50% 

256 The FEAD expert group is composed of representatives of the Member States' national administrations; it discusses matters pertaining to the implementation of 
the FEAD, guidance notes, etc. 

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cumulatively). In the majority of cases, the most deprived individuals are identified on the basis of economic criteria, which prevent 
discrimination in access to aid based on gender, origin, religion or belief, disability or sexual orientation. This is however a general 
principle applied across the implementation of the programme and it is not relevant to produce estimate of budget contributions. 

4. Performance information 
General objectives 
General Objective 1: To promote social cohesion, enhance social inclusion and therefore ultimately contribute to the objective of 
eradicating poverty in the Union in accordance with the Europe 2020 Strategy 
Indicator 1: People at risk of poverty or social exclusion 

Baseline (in million) 

2013: 122,9 

Milestones foreseen 

Actual results 

2014 
122,3 

2015 
118,8257 

Target 2020 

At least 20 million 
people fewer than in 
2008 (116,2) 

Specific objectives 
Specific  Objective  1: Alleviating  the  worst  forms  of  poverty  in  the  Union  by  providing  non-financial  assistance  to  the  most 
deprived persons 
Indicator 1: Number of persons receiving assistance from the Fund 

Baseline 

0* 

2014 
8 million 

2015 
15 million 

Milestones foreseen258 
2017 
15 million 

2016 
15 million 

Actual results 

2018 
15 million 

2019 
15 million 

Target 2020259 

98 million 

8,19 million 

13,76 million 

15,92 million 

   - 

*  The  FEAD  is  a  new  Fund,  hence  with  a  baseline  at  0.  The  figures  used  in  the  framework  of  the  existing  Food  assistance  programme  are 
established through a methodology which does not yield figures that could be comparable to the one of the new FEAD, thus they cannot be used 
as a baseline. 
** It is estimated that cumulatively until end of 2016 50% of end-recipients were women, close to 30% of end-recipients were children, 10% of 
end-recipients were persons aged 65 years or above, and more than 11% of end-recipients were migrants, participants with a foreign background, 
minorities (including marginalised communities such as the Roma), 5% of end-recipients were persons with disabilities and 4% of end-recipients 
were homeless persons. 
*** In 2014 the Commission and the MS agreed on a common set of output and result indicators on which the Member States will report annually 
(in the annual implementation reports) from 2015 to 2024 for both types of OPs. The reporting will be done at programme level. As there is no 
requirement  for  Member  States  to  set  targets  for  those  common  indicators,  the  Commission  made  forecasts  based  on  actual  performance  to 
establish the milestones and 2020 target. Those will be revised if necessary. The next set of data on 2017 achievements will be delivered by MAs 
by 30 June 2018. 
Expenditure related outputs 

Budget line 

04 06 01 

Draft Budget 2019 

Number 

EUR million 

15 million 

566,38 

Outputs 

Number of deprived persons receiving assistance from the Fund 
Total 

Outputs 

2014 

of 

deprived 

Number 
assistance from the Fund (million) 
8,19  
* Note concerning all tables for FEAD indicators: data for 2017 will be submitted by end of June 2018 by Member States. 

receiving 

persons 

13,76  

15,92  

n.a* 

F 
P 

15 

15 

15 

15 

8 

15 

Number of outputs foreseen (F) and produced (P) 
2017 

2018 

2016 

2019 

2015 

2020 

15 

Justification of changes to the financial programming and/or to the performance information 
The changes in the performance information reflect the fact that a larger number of Member States achieved results on the ground 
in 2015. It should also be taken into account that Member States provide the Commission with estimations about the number of end 
recipients, rather than an actual count of the individuals benefitting from the Fund. 

5. Programme contribution to the Sustainable Development Goals 
The  FEAD  promotes  social  cohesion,  enhances  social  inclusion  and  ultimately  contributes  to  achieving  the  EU2020  poverty 
reduction  target.  The  FEAD  contributes  to  the  specific  objective  of  alleviating  the  worst  forms  of  poverty  by  providing  non-
financial assistance  to the  most deprived persons.  Approximately 87% of the  support of the fund has been allocated to reducing 
food deprivation, and the FEAD also finances specific actions to promote the social inclusion of the end recipient. In this way the 
implementation of the FEAD will contribute to the following UN 2030 Sustainable Development Goals: Goal 1: End poverty in all 
its forms everywhere, Goal 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture, Goal 
10: Reduce inequality within and among countries. 

257 data from EUROSTAT - [t2020_50] - People at risk of poverty or social exclusion 
258 Annual values 
259 Cumulative value 

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HEADING 2: Sustainable growth: natural resources 

Common Agricultural Policy (CAP) - European Agricultural Guarantee Fund (EAGF) 
and European Agricultural Fund for Rural Development (EAFRD) 

EU added value (ex-ante) CAP 

The  Common  Agricultural  Policy  (CAP)  is  a  policy  of  strategic  importance  to:  viable  food  production;  the  sustainable  use  of 
natural resources, and climate action; and balanced territorial development. Through these three general objectives it contributes to 
the  smart,  sustainable  and  inclusive  growth  described  in  the  Europe  2020  strategy,  while  also  helping  to  achieve  the  2014-2020 
Commission  priorities  and  many  of  the  United  Nations  Sustainable  Development  Goals  (SDGs).  In  this  regard,  the  sector  has 
increased  its  productivity  by  nearly  9 %  since  2005  while  cutting  greenhouse  gas  (GHG)  emissions  by  24%  since  1990  and 
reducing fertiliser use with a positive impact on water quality. Moreover, the CAP enabled the development of the most integrated 
single  market.  Thanks  to  the  CAP,  the  EU  farm  sector  is  able  to  respond  to  citizens'  demands  regarding  food  security,  safety, 
quality and sustainability.  

It does so through a range of policy tools  which offer finance to the  farm, food and  forestry  sectors, as  well as to  various  other 
entities  operating  in  rural  areas  –  such  as  other  non-agricultural  businesses,  non-governmental  organisations  (including 
environmental bodies) and local authorities. Impact assessment work carried out to prepare the legislative proposals for the  2013 
CAP reform clearly showed a high economic, environmental and social cost of "no policy action" in this domain. 

The CAP is a genuinely "European" policy. Although Member States enjoy significant powers concerning detailed implementation 
of the CAP – and although support for rural development under the second pillar of the CAP draws not only on EU level but also 
national,  regional  and  private  funds  –  the  policy  is  clearly  "common",  based  on  well-defined  rules  and  mechanisms  and  funded 
primarily  by  the  EU  budget.  Such  a  common  policy  allows  a  more  effective  response  to  transnational  goals  and  cross-border 
challenges  -  such  as  food  security,  mitigating  climate  change,  enhancing  biodiversity  and  contributing  to  economic  and  social 
cohesion. It also ensures a level playing field in the single market and a stronger position in trade negotiations. The fact  that the 
CAP accounts for a significant proportion of the EU budget flows naturally from its ambitious scope and from this status as an EU 
level policy. However, the overall approach offers both the most effective response to the policy challenges identified and the most 
efficient  use  of  budgetary  resources,  as  the  running  of  28  different  and  competing  national  policies  would  be  less  effective  and 
more costly. Nevertheless, the approach also allows sufficient flexibility in implementation to cater for local needs. 

General objectives 
The information provided for general objectives is equally applicable to the EAGF and EAFRD 

General Objective 1: To promote a viable food production 
Indicator 1: Agricultural factor income (Definition: Real net value added at factor cost per annual work unit (AWU) (EU-28)260) 

Former results (2011) 

14 937.8 - 2012 
15 128.5 - 2011 

2013 

2014 

2015 

2016 

2017 

2018 

Actual results  

15 517.3 

15 733.8 

15 239.9 

15 433.2 

Long term target 

To increase 

In 2015, Eurostat changed the base year for the economic accounts for agriculture from 2005 to 2010, which has retroactive effects on values 
published previously. Eurostat has also updated values for previous years. 

Indicator 2: Agricultural productivity 

Former results (2005) 

Index 2005 - 100 

2014 
106.4 

2015 
107 

2016 
108 

2017 

2018 

2019 

Actual results  

Long term target 

To increase 

Indicator 3: EU commodity price variability 

Former situation 

Evolution 

Coefficient of variation 
Commodity 
Beef 
Poultry 
Pig 
Soft wheat 
Maize 
Barley 
Butter 
Cheese (Cheddar) 
Skimmed milk powder (SMP) 
Whole milk powder (WMP) 

World 
Jan 2014-
Dec 2016 
9% 
14% 
26% 
16% 
11% 
15% 
18% 
20% 
38% 
31% 

EU 
Jan 2014-
Dec 2016 
2% 
4% 
9% 
10% 
6% 
10% 
14% 
14% 
25% 
20% 

Coefficient of variation 
Commodity 
Beef 
Poultry 
Pig 
Soft wheat 
Maize 
Barley 
Butter 
Cheese (Cheddar) 
Skimmed milk powder (SMP) 
Whole milk powder (WMP) 

World 
Jan 2015-
Dec 2017 
5% 
12% 
13% 
10% 
6% 
9% 
30% 
13% 
14% 
18% 

EU 
Jan 2015-
Dec 2017 
2% 
3% 
10% 
7% 
5% 
10% 
29% 
9% 
9% 
14% 

260   Change in baseline necessary in order to align the definition with the agreed method for the underlying CAP impact indicator. 

Long term 
target 

EU 
variability 
lower than 
the world 
market 

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General Objective 2: To promote a sustainable management of natural resources and climate action 
Indicator 1: Emissions from agriculture 
Former situation 
Greenhouse gas emissions from agriculture (incl. soils) 
497 772 (2014) (in 1 000 t of CO2 equivalent) 

Evolution 

493 032 (2015) (in 1 000 t of CO2 equivalent) 

Long term target 

Long-term evolution, since 1990 an average rate of decline of - 1.03% 
Changes in figures used in previous years can be due to harmonisation 
of methodologies across similar indicators 

Long-term trend 

To decrease 

Indicator 2: Water abstraction in agriculture: volume of water applied to soils for irrigation purposes 

Former situation 

Evolution 

Long term 
target 

No reliable EU aggregate figure 
available; data can only be compared 
for individual countries over time (see 
table on the right) 

Belgium 
Bulgaria 
Czech Republic 
Denmark 
Germany 
Estonia 
Ireland 
Greece 
Spain 
France 
Croatia 
Italy 
Cyprus 
Latvia 
Lithuania 
Luxembourg 
Hungary 
Malta 
Netherlands 
Austria 
Poland 
Portugal 
Romania 
Slovenia 
Slovakia 
Finland 
Sweden 
United 
Kingdom 

Water abstraction for agriculture - irrigation 
Fresh surface and groundwater 
Million cubic metres 
2010 
: 

2011 
: 

2012 
: 

2013 
: 

2014 
: 

2015 
: 

866.6 
21.6 
242.4 

768.4 
25.3 
96.9 

753.4 
19.7 
180.7 
179.6 

: 
: 
: 
21 300.0 
3 033.1 
8.5 

: 
: 
: 

8 232.2 
22 514.0 
3 035.7 
0.0 

: 

: 

: 

: 

: 

: 

: 

: 

: 

: 

148.4 

1.2 
0.0 

25.7 
82.3 
18.0 
75.1 

235.0 
1.6 
7.0 

62.0 

: 

163.6 

0.9 

99.0 
22.6 
81.1 

83.1 

325.0 
3.2 
11.9 
0.0 

: 
: 
: 

8 232.2 
23 369.0 
2 913.2 

: 
: 

: 

: 

: 

: 

: 
: 

170.0 

1.0 

132.5 
24.1 
23.0 

80.1 

371.0 
2.2 
21.1 

103.9 

117.8 

49.0 

549.0 
13.9 

436.6 
16.8 

675.7 
31.8 

: 
: 
: 
: 

: 
: 
: 
: 

: 
: 

: 
: 

: 

: 
: 

: 

8 232.2 

166.6 

0.0 
154.1 
29.0 

78.5 

343.0 
3.6 
16.6 

: 
: 
: 
: 

8 232.2 
20 013.7 
: 
: 
: 

147.3 

: 

: 
: 

: 

: 
: 

0.9 
0.0 
98.0 
28.6 

80.8 

226.0 
1.7 
13.7 

89.2 

: 
: 
: 
: 

: 
: 
: 
: 

: 

: 
: 

: 

: 
: 

: 

8 232.2 

164.2 

To decrease 

0.9 
0.1 
110.0 
28.0 

84.9 

364.0 
3.6 
21.6 

General Objective 3: To promote a balanced territorial development 

Indicator 1:  Rural employment rate (EU-28) 

Former results  

63.4% (2012) 62.5% (2011) 
62.7 % (2010) 62.8% (2009)  
64.8% (2008) 

2013 

2014 

2015 

2016 

2017 

2018 

Actual results  

63.5% 

64.3% 

65.0% 

66.0% 

Target 2023 

To increase 

Programme contribution to the Sustainable Development Goals 

The information provided for general objectives is equally applicable to the EAGF and EAFRD 
Sustainable Development Goal 

CAP contribution 

1.  End poverty in all its forms 

everywhere 

The CAP aims to ensure a fair standard of living for farmers – and more broadly, to reduce 
poverty in rural areas.  

Relevant CAP tools include direct payments to farmers, market support instruments, and rural 
development support for job creation and training (agricultural and non-agricultural). 

Furthermore,  the  EU  is  facilitating  responsible  private  investments  in  developing  countries, 
notably in the agri-food sector on which 80% of the very poor depend for their livelihoods, to 

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Sustainable Development Goal 

CAP contribution 

create growth and jobs and address root causes of irregular migration. 

2.  End hunger, achieve food 

security and improved nutrition 
and promote sustainable 
agriculture 

The  CAP  aims  to  help  provide  a  stable  (as  well  as  safe  and  sustainably  produced)  supply  of 
food  at  reasonable  prices  for  consumers.  Doing  so  for  EU  consumers  contributes  in  itself  to 
global food security. The EU makes a further contribution by exporting large amounts of food 
(worth  around  EUR  120  billion  a  year)  –  but  without  export  refunds,  in  contrast  to  previous 
decades. 

4.  Ensure inclusive and equitable 
quality education and promote 
lifelong learning opportunities 
for all 

Relevant CAP tools include  direct payments and  market  instruments (to  safeguard production 
potential  against  serious  disruption),  the  EU  School  Scheme  (which  encourage  healthy  diets 
among  schoolchildren),  and  the  various  tools  which  foster  the  environmental  aspect  of 
sustainability (see SDG 15). 

The CAP aims to improve knowledge transfer in the farm and forestry sectors and in rural areas 
overall, as a means of achieving various ends.  

Relevant  tools  include  support  through  rural  development  programmes  for  training,  coaching, 
workshops,  demonstration  projects,  use  of  tailored  advice  etc.  –  for  persons  engaged  in  the 
agriculture, food and forestry sectors, as well as for land managers and SMEs operating in rural 
areas. 

6.  Ensure availability and 

sustainable management of 
water and sanitation for all 

The CAP aims to foster sustainable management of natural resources. This explicitly includes 
the objectives of improving water management (including in terms of water quality) and making 
the farm sector more water-efficient.  

7.  Ensure access to affordable, 
reliable, sustainable and 
modern energy for all 

8.  Promote sustained, inclusive 
and sustainable economic 
growth, full and productive 
employment and decent work 
for all 

9.  Build resilient infrastructure, 

promote inclusive and 
sustainable industrialization 
and foster innovation 

12. Ensure sustainable 

consumption and production 
patterns 

Pertinent tools include the water-relevant components of cross-compliance and "greening" (see 
SDG 15 for further information), various payments through rural development programmes to 
make  farming  less  intensive  (especially  agri-environment-climate  measures),  and  support  for 
investments in more efficient irrigation systems. 

The CAP aims to increase efficiency of energy use in farming and food processing, as well as to 
facilitate the supply and use of renewable sources of energy. 

Relevant  tools  include  rural  development  support  for  investments  in  generating  renewable 
energy (including on the farm) and in infrastructure for its distribution – with regard to biomass 
and other renewable sources (for solar, geothermal and wind power). 

The CAP aims to improve  the viability of all types of agriculture in all regions, as  well as to 
foster wider social inclusion and reduce poverty in rural areas. 

Relevant tools include direct payments and market instruments (for the development of the farm 
sector,  to  which  many  other  sectors  are  connected),  as  well  as  rural  development  support  for 
business start-ups (for new young farmers and non-agricultural businesses) and investments in 
further business development. 

The  CAP  aims  to  foster  innovation  in  agriculture,  forestry  and  rural  areas,  as  well  as  to  help 
provide what is needed for general economic development in rural areas (including access to IT 
services). 

Relevant  tools  include  rural  development  support  for  the  development  of  new  products, 
practices,  processes  and  technologies  in  the  agriculture,  food  and  forestry  sectors  (especially 
through  the  European  Innovation  Partnership  for  Agricultural  Productivity  and  Sustainability) 
as well as for broadband infrastructure, general small-scale infrastructure and training. 

The  CAP  aims  to  help  provide  a  stable  (as  well  as  safe  and  sustainably  produced)  supply  of 
food at reasonable prices for consumers.  

One  of  the  CAP's  main  objectives  is  to  provide  a  stable,  sustainably  produced  supply  of  safe 
food  at  affordable  prices  for  consumers.  This  includes  for  examples  an  EU  framework  on 
organic  farming,  and  the  integration  of  environmental  concerns,  such  as  biodiversity,  water 
management and use and climate change, into the CAP. The CAP is committed to sustainable 
use  of  natural  resources  and  the  environmentally-sound  management  of  waste,  also  for  food 
losses. 

With regard to the key tools which help to ensure environmentally sustainable production, see 
SDG 15. 

13. Take urgent action to combat 

The CAP aims to assist climate change mitigation and adaptation. 

climate change and its impacts 

Relevant  tools  include  those  elements  of  cross-compliance  and  "greening"  (see  SDG  15) 

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15. Protect, restore and promote 
sustainable use of terrestrial 
ecosystems, sustainably 
manage forests, combat 
desertification, and halt and 
reverse land degradation and 
halt biodiversity loss 

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CAP contribution 
pertinent to climate change - as well as rural development support for a range of practices and 
investments that cut greenhouse gas and ammonia emissions from farming (e.g. through more 
climate-friendly  equipment),  fix  carbon  in  the  soil  (e.g.  through  forest-planting)  and  make 
farming more climate-resilient (e.g. with less water-intensive cropping patterns).  

The  CAP  aims  to  ensure  the  sustainable  use  of  natural  resources  –  including  in  terms  of 
biodiversity, soil, water and landscapes. 

A  wide  range  of  tools  are  relevant.  Within  the  system  of  direct  payments  to  farmers,  "cross-
compliance"  links  payments  to  various  basic  environmental  standards.  Beyond  that,  the 
"greening"  layer  of  the  system  rewards  farmers  for  implementing  crop  diversity,  preserving 
permanent grassland and maintaining biodiversity-friendly zones or landscape features. Within 
rural development policy, various area-based payments help farmers to pursue organic farming, 
implement  certain  Natura  2000  requirements,  farm  sustainably  in  areas  facing  natural 
(through  agri-environment-climate 
disadvantages 
measures)  make  extra  efforts  to  benefit  soil,  water,  air  and  wildlife.  Support  for  eco-friendly 
investments can cover resource-efficient technologies, establishment of landscape features, and 
various  forest-related activities (planting, protection against fire and other  natural threats etc.) 
Support for training, the use of advice, and innovation is also relevant.  

(especially  mountainous  areas),  and 

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European Agricultural Guarantee Fund (EAGF) 
Lead DG: AGRI 

I. Programme Overview 

What the programme is about? 

The EAGF limits the loss of viable jobs and output within the farm sector and many sectors which depend on it, improves care  for 
the  environment  and  responds  to  consumer  expectations  in  terms  of  food  security,  food  safety,  food  quality  and  food  nutrition. 
Direct payments provide a basic protection of farm income against the particular shocks to which agriculture is exposed (notably 
price-  and  weather-related).  At  the  same  time,  direct  payments  are  closely  tied  to  requirements  and  offer  public  benefits  of 
importance to EU citizens. Cross-compliance links direct payments to standards concerning the environment, food safety, animal 
and plant health and animal welfare throughout the EU. Furthermore the "greening" layer of direct payments rewards farmers for 
additional  environmental  care  (related  to  crop  diversity,  permanent  grassland  and  ecologically  beneficial  zones  or  landscape 
features). 

The  common  market  organisation  provides  a  framework  of  rules  on  issues  such  as  market  support  measures,  product  standards, 
labelling  and  producer  cooperation,  helping  farmers  in  times  of  severe  market  disturbance,  strengthening  the  competitiveness  of 
farmers and supporting the well-functioning of the internal market. 

EU added value of the programme 

Within the EAGF, direct payments provide relative income stability to farmers facing significant price and production volatility  - 
which helps to keep the EU's vital high-quality food production base spread around the Union. Farmers also sometimes use part of 
their direct payments to  make performance-enhancing investments. Market instruments support increasing the potential of certain 
sectors,  organisation  and  quality  improvement  and  supplement  the  protection  offered  by  direct  payments,  stabilising  markets  in 
times of serious disturbance. At the same time, the EAGF is closely tied to requirements and public benefits of importance to EU 
citizens. Cross-compliance links direct payments to standards concerning the environment, food safety, animal and plant health and 
animal  welfare  throughout  the  EU,  while  the  "greening"  layer  of  payments  rewards  farmers  for  additional  environmental  care 
(related  to  crop  diversity,  permanent  grassland  and  ecologically  beneficial  zones  or  landscape  features).  Finally,  the  EAGF's 
common  market  organisation  provides  a  framework  of  rules  on  issues  such  as  market  support  measures,  product  standards  and 
labelling. The overall effect is that the EAGF helps to limit losses of viable jobs and output (within the farm sector and the many 
sectors  which  depend  on  it),  improve  care  for  the  environment  and  meet  consumer  expectations.  It  thus  encourages  smart, 
sustainable  and  inclusive  growth,  helping  to  achieve  the  CAP  objectives  of  viable  food  production,  sustainable  management  of 
natural resources (with climate action) and balanced territorial development. 

The EAGF adds value by operating at EU level primarily in three ways. First, it responds more effectively and efficiently to  cross-
border  challenges  –  such  as  underpinning  food  security,  mitigating  climate  change,  caring  for  natural  resources  such  as  soil  and 
water,  restoring  biodiversity  and  strengthening  economic  and  social  cohesion.  Secondly,  it  preserves  a  level  playing  field  in  the 
single market. Finally, it makes possible a stronger common position in trade negotiations. 
Evaluations  of  the  various  elements  of  the  CAP  are  conducted  on  a  regular  basis261and  their  results  are  incorporated  in  impact 
assessments preparing new initiatives. The indicators set out in the context of the common monitoring and evaluation framework262 
will serve as a basis for future evaluations. Based on these, results on the performance of the CAP will be presented in 2018 in a 
report to the European Parliament and Council263. 

II. Programme Update 

Implementation Status (2014-2017) 

For the EAGF implementation during the initial years of the MFF 2014-2020 has been largely as expected, except for some 
exceptional market support measures of limited duration that were adopted in years 2014-2017. 

Market related expenditure 

Within  the  Common  Market  Organisation  (CMO)  sector-specific  support  programmes  are  operating  at  various  points  in  their 
respective life cycles. For example, for the wine national support programmes 2014-2018 is the second programming period since 
the reform in 2009. In 2017, the Commission extended the programmes to the period 2019-2023, subject to availability of financial 
resources.  Support  in  the  wine  programmes  is  concentrated  in  restructuring  of  vineyards  and  wine  promotion.    The  apiculture 
programmes follow a three year programming period, with 2019 being the third and the last year of the current programme. Support 
for  producer  organisations  in  the  fruit  and  vegetables  sector  is  implemented  on  the  basis  of  annual  plans.  Triannual  support 
programmes to producers' and inter-branch organisations in the olive oil and table olives sector are  in their last  year and  will be 
renewed  in  April  2018  implementing  some  simplification  adopted  in  2017.  School  year  2016/2017  was  the  last  year  of 
implementation  of  the  school  fruit  and  vegetables  scheme  and  of  the  school  milk  scheme.  They  were  brought  together  under  a 

261   Section I, EAGF Progamme update  
262   Commission Implementing Regulation (EU) No 834/2014 of 22 July 2014 laying down rules for the application of the common monitoring and evaluation 

framework of the common agricultural policy. 

Article 110 of Regulation (EU) No 1306/2013 

263  

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single  legal  framework  for  greater  efficiency,  more  focused  support  and  an  enhanced  educational  dimension  applicable  as  of  1 
August 2017.  

Additional  market  support  measures  such  as  private  storage  aid  and  public  intervention  for  certain  dairy  products  were  kept  in 
place.  In  addition,  exceptional  market  measures  covering  targeted  aid,  exceptional  adjustment  aid  and  aid  for  milk  production 
reduction for dairy farmers were implemented due to the particularly unfavourable market developments of 2015 and 2016. In view 
of the Russian import embargo on certain EU agricultural products exceptional support measures for certain producers of fruit and 
vegetables  were  in  place  since  the  second  half  of  2014.  In  view  of  the  difficulty  in  finding  alternative  markets  and  the  critical 
situation of the peach & nectarine sector, support for fruits trees was rolled over until 30 June 2018 

In general, implementation is on track with a positive evolution of  the execution over the years and no significant implementation 
difficulties. 

Direct payments 

For direct payments, financial years 2014 and 2015 covered pre-reform schemes. In addition, in 2015 the EAGF covered already 
some  elements  of  the  2013  CAP  reform,  including  the  convergence  of  the  direct  payments'  aid  levels  between  Member  States 
("external  convergence").  As  of  financial  year  2016  the  new  structure  of  direct  payments  has  been  financed.  Beyond  the 
compulsory  elements  of  the  new  direct  payments  scheme,  Member  States  have  considerable  flexibility  in  the  implementation, 
following their main implementation choices made in 2014 . These choices allow Member States to target support at their specific 
priorities. 

On the  administrative level, the  Commission services  have since 2014 assisted Member States in the challenge of preparing and 
implementing direct payments through, for example, guidance documents or discussions in expert group meetings. In financial year 
2016 payments to farmers were in certain cases made later than usual as it was the first year of implementing the reform. However, 
already  in  financial  year  2017,  the  implementation  was  closer  to  normal  rhythm  and  it  is  expected  that  Member  States 
implementation will further improve in the following years. 

This implementation of direct payments has been also accompanied by a green DAS from the European Court of Auditors for 2016 
- the first year of implementation of post 2013 reform direct payments schemes.  

Key achievements  

Market related expenditure Rolled over from the previous years,  market support measures in the fruit and vegetables and life 
stock sector, have continuously helped rebalance the sectors concerned., Especially, introduced in 2017 adjustment aid and aid for 
milk production reduction for dairy farmers provided a smart way to manage the market imbalance resulting from several macro-
economic factors (expiration of the production quotas, collapse of certain important marketing destinations outlets outside the EU)., 
They effectively helped to increase prices for farmers, providing much-needed support to affected producers in the Member States. 
European agriculture showed its resilience, finding alternative markets at home and abroad (in particular in Asia and the US), as 
evidenced by the trade statistics. 

Total export values over the last 12 months reflect in particular the recovery in pig meat exports (EUR +1.3 billion; +34% year-on-
year),  meat  offal,  other  meat  and  fat  (EUR  +0.5  billion;  +21%),  olive  oil  (EUR  +483  million;  +22%).  In  relative  terms,  high 
increases in export values were also seen for oilseeds (+31%) and butter (+25%), and slight decrease of fresh fruits and vegetables 
(EUR -30 million; -4%). Equally, the success of wine national support programmes is witnessed by the long-term development of 
EU wine exports - which, between 2012 and 2016, continued to increase in value from EUR 8.9 billion to EUR 10.1 billion and 
brought a net contribution of EUR 7.5 billion to the EU trade surplus. This trend appears to have continued in 2017: wine exports 
sustained expansion (EUR +1.1 billion vs. 2016 figure, with net contribution to trade surplus which increased to EUR 8.6 billion). 

Nevertheless the downward price evolution in some vulnerable sectors persisted which justifies continued  intervention to keep the 
market in balance and support the producers in finding alternative outlets or production. 

Direct payments In claim year 2016 (corresponding to financial year 2017), which was the second year of implementation of the 
reformed system, about 6.6 million farmers benefited from direct payments and the total determined area paid covered some 85% 
of the EU Utilised Agriculture Area (153.9 million ha).  

The re-balancing of the distribution of payments between and within Member States has continued: data confirm that the average 
direct payments per hectare are converging (at Member State and farmer levels). The various schemes allowing further targeting of 
the needs of certain categories of beneficiaries, in particular the  young  farmers, the  small farmers and certain specific sectors or 
regions with structural problems are fully in place. Where necessary, Member States have revised their decisions within the limits 
of the flexibility given by the new system in order to adjust the modalities of implementation building on the experience gained in 
the first year. 

The "greening" layer of direct payments, accounting for 30 percent of Member States’ annual direct payment ceilings and covering 
annual obligations beneficial for the environment and climate (crop diversification, maintenance of permanent grassland, and the 
dedication of five per cent of arable land to ecologically beneficial areas ("ecological focus areas", or EFAs)). 79% of the  total EU 
agricultural area being subject to at least one "greening" obligation , increasing the environmental impact of the measure.  

Common monitoring and evaluation framework As a part of the CAP reform, a common monitoring and evaluation framework 
has  been  improved  and  expanded  to  provide  reliable  information  on  the  extent  to  which  the  CAP  as  a  whole  is  achieving  its 

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objectives. This framework includes a set of common impact indicators for the overall CAP, as well as separate result and output 
indicators  for  the  CAP's  first  pillar  (direct  payments  and  market  related  expenditure)  and  second  pillar  (support  for  rural 
development). 

A first report on the CAP implementation and first results will be presented by mid-2018. By the end of 2021 a further report will 
present a more comprehensive assessment of the impact of the CAP. 

Simplification Starting in 2015, simplification involving the Commission, Member States, other EU institutions and stakeholders 
has led to a series of changes to regulations and guidance documents to the benefit Member States' administrations and farmers.  

In  2015  legislative  amendments  had  already  entered  into  force  concerning  or  were  finalised  concerning  increased  flexibility  and 
simplification  in  relation  to  voluntary  coupled  support;  eligibility  for  the  young  farmers'  payment  in  the  case  of  farms  managed 
jointly;  and  five  simplifications  of  the  Integrated  Administration  and  Control  System  (IACS)  -  including  the  introduction  of 
preventive preliminary cross-checks. Furthermore, changes were made to guidance documents on direct payments in relation to the 
implementation of ecological focus area.  

At the end of 2015 a number of additional initiatives such as changes of the rules for administrative penalties under IACS were at a 
very advanced stage of preparation and were finalised in 2016. In 2016 the review of certain greening rules after the first year of its 
application (also aiming to analyse the impact of the new rules) was conducted. In 2017, the Commission pursued amendments of 
certain  greening  rules  to  better  specify  what  is  required  from  farmers,  eliminate  certain  technical  requirements,  provide  more 
flexibility  for  farmers  or  alternative  solutions  where  this  would  increase  the  environmental  and  climate  benefit  of  greening  and 
harmonise selected requirements and conditions. 

In  the  area  of  the  CMO,  several  sector  specific-rules  have  been  simplified.  These  simplifications  have  been  carried  out  in  the 
framework  of  the  alignment  of  the  Commission-level  regulations  to  the  Lisbon  Treaty.  The  alignment  exercise  will  reduce 
significantly  the  number  of  regulations.  Specifically  in  relation  to  the  EU  school  fruit,  vegetables  and  milk  scheme  (School 
Scheme)  which  as  from  1  August  2017  has  reduced  the  administrative  and  organisational  burden  and  simplified  obligations: 
Member States drew up only one strategy, covering a period of 6 years, by 31 July 2017 and are required to submit only one annual 
request  for  aid;  several  Member  States  made  use  of  the  synergies  that  are  possible  as  regards  the  required  monitoring  and 
evaluation reports and, in general, as regards implementation of the scheme (distribution of products, educational measures etc.). 

 At the level of basic acts, the Commission's proposal for a so-called "Omnibus Regulation"  included a range of more technical 
changes  to  the  four  basic  regulations  of  the  CAP.  The  Commission  proposals  cover  simplification  in  a  broad  sense,  including 
flexibility  and  subsidiarity.  The  regulation    in  force  since  1  January  2018,  includes  most  of  the  Commission's  most  important 
simplification  proposals  (for  example,  the  provisions  on  active  farmer  under  direct  payments  and  on  the  Member  State's 
responsibilities  with  regard  to  Voluntary  Coupled  Support)  but  also  a  number  of  additional  changes  proposed  by  the  European 
Parliament  and/or  the  Council  (for  example,  on  permanent  grassland,  greening  and  voluntary  coupled  support  under  direct 
payments and provisions on fruit and vegetables, wine, producer cooperation and competition under the CMO). 

Relevant findings of evaluation and/or programme related studies 

Evaluation on the payment for agricultural practices beneficial for the climate and the environment  was carried out. It evaluates the 
"greening" layer of direct payments with respect to the general objective ‘sustainable use of natural resources and climate action’. 
The  study  found  that  overall  the  greening  measures  have  led  to  only  small  changes  in  management  practices,  except  in  a  few 
specific  areas.  As  a  result,  their  environmental  and  climate  impacts  have  been  limited  and  locally  specific.  They  have  had  a 
negligible effect on production or economic viability of farms.  

In 2017, the work of the contractor was finished, yet the evaluation staff working document still needs to be finalised. Taking into 
account  the  findings  in  this  evaluation,  the  findings  of  a  recent  Court  of  Auditors  report  on  the  greening  measures  as  well  as 
opinions from stakeholders, i.a. related to the administrative burden, reflections are ongoing on instruments and new methods for 
policy delivery to enhance the environmental and climate performance of the CAP in the post-2020 period 

The Commission report on the implementation of specific measures for agriculture in favour of the outermost regions of the Union 
(POSEI)    was  adopted  on  15  December  2016  recommended  that  the  implementing  regulation  should  be  amended  to  clarify  and 
simplify the list of elements included in the annual report in order to improve the reporting process. A similar modification will be 
presented as regards the  scheme  for the smaller  Aegean islands  following the  Commission report recommendation to clarify the 
content of the annual reports provided for in the implementing Regulation.  Both modifications are planned for 2018. 

In  2017,  the  Member  States  participating  in  the  EU  school  fruit  and  vegetables  scheme  submitted  evaluation  reports  on 
implementation  of  the  scheme  over  the  last  five  years.  Most  reports  show  a  positive  short-term  impact  (increase  in  children's 
consumption  of  fruit  and  vegetables  at  school)  and  some  observe  changes  in  the  frequency  or  quantity  of  consumption  patterns. 
Most  reports  also  highlight  positive  developments  in  children's  knowledge  and  attitude.  The  scheme  was  positively  assessed  by 
children, teachers and parents with an almost unanimous support for its continuation. The main recommendations for improvement 
concern  an  appropriate  frequency  and  diversity  of  supply  of  fruit  and  vegetables,  more  systematic  involvement  of  teachers  and 
parents,  better  communication,  and 
reports  are  available  at 
https://ec.europa.eu/agriculture/sfs/eu-countries_en. 

the  administrative  burden.  The 

reduction  of 

the 

Forthcoming implementation (2018-2019)  

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For  direct  payments,  the  amendment  of  the  legislation  introduced  various  changes  with  regard  to  the  rules  applicable  to  certain 
direct payment  schemes  which  will serve  to increase  their functioning (e.g. the possibility to overbook the Single  Area Payment 
Scheme from claim year 2018; additional review possibilities with regard to voluntary coupled support, decisions on the reduction 
of  payments  and  decisions  on  the  flexibility  between  pillars  ;  clarification  of  the  Member  States  responsibilities  with  regard  to 
voluntary  coupled  support  with  retroactive  effect  from  claim  year  2015;  new  optional  definition  of  permanent  grassland,  etc.). 
These changes will require corresponding alignment of the delegated and implementing acts for direct payments, whose adoption is 
foreseen for the 1st quarter of 2018.  

With this, Member States  will in calendar year 2018 have even better opportunity to review certain of their choices  made in the 
implementation of direct payments both as regards financial allocations and the implementation of the schemes for e.g. voluntary 
coupled support, redistributive payment, the single area payment scheme, greening (permanent grassland, Ecological Focus Areas) 
and the young farmer payment. These reviewed decisions, if any, will apply from claim year 2018 or 2019. Member States are also 
given an additional option to review their decisions regarding transfer of funds from direct payments to rural development, which 
will impact financial year 2020. 

As regards CMO, various developments will occur concerning sector-specific support programmes, according to the stages reached 
in their respective life cycles. Wine national support programmes are expected to be continued after 2018. Promotion, reconversion 
and restructuring, harvest insurance, investments and innovation measures are to be continued under a new programming period. 

New  triannual  programmes  in  the  olive  oil  and  table  olives  sector  will  start  in  April  2018  in  Greece,  France  and  Italy.  A  new 
information  and  promotion  policy  is  applicable  since  1  December  2015.  The  annual  work  programme  setting  out  the  strategic 
priorities for promotion measures in 2018 is implemented through the publication of calls for proposals in January  2018. In 2018, 
two  thirds  of  the  available  funding  is  earmarked  for  promoting  EU  food  products  in  non-EU  countries,  in  particular  those  with 
which there is a large potential for increasing EU agri-food exports. For programmes within the EU, the focus will be on informing 
consumers about the various EU quality schemes and labels such as geographical indications or organic products. Sectorial funding 
will go towards programmes that promote sustainable breeding for sheep and goats. Funding has also been set aside for campaigns 
designed to promote healthy eating and the consumption of fruits and vegetables. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation (EU) No 1306/2013 of the European Parliament and of the Council of 17 December 2013 on the 
financing, management and monitoring of the common agricultural policy and repealing Council Regulations 
(EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC) No 
485/2008.             
Regulation  (EU)  No  1307/2013  of  the  European  Parliament  and  of  the  Council  of  17  December  2013 
establishing rules for direct payments to farmers under support schemes within the framework of the  common 
agricultural  policy  and  repealing  Council  Regulation  (EC)  No  637/2008  and  Council  Regulation  (EC)  No 
73/2009        
Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December establishing a 
common  organisation  of  the  markets  in  agricultural  products  and  repealing  Council  Regulations  (EEC)  No 
922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007    
Council  Regulation  (EU)  No  1370/2013  of  16  December  2013 determining  measures  on  fixing  certain  aids 
and refunds related to the common organisation of the markets in agricultural products 

2014 - 2020 

307 994,0 

Total 

43 778,1 

43 454,9 

42 219,1 

42 610,7 

43 234,5 

43 613,4 

43 887,5 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Total 
Programme 
302 798,2 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

42 610,672 

98,92 % 

42 558,428 

98,67 % 

43 234,517 

64,50 % 

43 188,677 

64,32 % 

Authorised appropriations (*) 

45 830,238 

97,66 % 

45 974,579 

97,22 % 

44 690,281 

63,85 % 

44 849,553 

63,40 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
'20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 

Contribution to Europe 2020 priorities - 8% of chapter 05 03 (related to EAGF) 

Priority 

Budget 2018 

DB 2019 

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Sustainable Growth (competitiveness, climate, energy and mobility) 

Contribution to mainstreaming of climate action 

Relevant objective/output 

To contribute to the development of sustainable agriculture through the "green direct payment" and cross 
compliance264 

(EUR million) 

(EUR million) 

3 254 

3 278 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

7 751 

7 745 

2014 – 2017 

2018-2019 estimates 

2014 
3 316 

2015 
3 273 

2016 
7 938 

2017 
7 643 

2018 
7 751 

2019 
7 745 

2020 
programming 
2020 
8 098 

Total 
2014-2020 

45 763 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

In its Special Report No 31/2016, the European Court of Auditors flagged that the climate relevant share of agriculture spending 
could  be  overestimated.  The  Commission  considers  that  its  estimates  of  the  overall  climate  contribution  of  both  CAP  funds  are 
based on an EU wide agreed methodology. The method used by the Commission is sound, it has been prepared in a transparent and 
coordinated  manner;  it  is  based  on  Rio  markers  and  it  was  communicated  to  the  European  Parliament  and  the  Council.  The 
Commission takes note of the Court's simulations using different methodologies and general principles agreed by international aid 
organisations, but reiterates its commitment to the EU approach. The Commission does not consider a set of principles developed 
by a group of international aid organisations in 2015 for mitigation tracking of their operations to be a relevant point of reference 
for the approach agreed at EU level. The Commission underlines that the Court's calculations used in the report differ from the ones 
agreed at EU level which are sufficiently conservative. 

The benefit of cross compliance for climate actions can be assessed by applying a Rio marker of 40% to a share of 20% of non-
greening direct payments. As for any other calculation this is a proxy, based on the penalty system of cross compliance. However, 
the  Commission  considers  that  a  climate  impact  of  8%  of  non-greening  direct  payments  is  not  overestimated  considering  the 
benefits  of  cross  compliance  and  direct  payments  for  the  climate.  For  green  direct  payments  the  calculation  fairly  reflects  the 
climate-relatedness of the main three farming practices. 

Contribution to financing biodiversity 

Relevant objective/output 

Contribute to the enhancement of the environmental performance of the CAP through the greening component 
of the direct payments. Contribute to the development of sustainable agriculture and to making the Common 
Agricultural Policy more compatible with the expectations of the society through cross-compliance. Contribute 
preventing  soil  erosion,  maintaining  soil  organic  matter  and  soil  structure,  ensuring  a  minimum  level  of 
maintenance  and  avoiding  the  deterioration  of  habitats,  and  protecting  and  managing  water  through  the 
standards of good agricultural and environmental conditions265 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

5 856 

5 839 

2014 – 2017 

2018-2019 estimates 

2014 
3 316 

2015 
3 273 

2016 
6 030 

2017 
5 795 

2018 
5 856 

2019 
5 839 

2020 
programming 
2020 
6 112 

Total 
2014-2020 

36 220 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

4. Performance information 

Specific objectives 

Specific Objective 1: To improve the competitiveness of the agricultural sector and enhance its value share in the food chain 

Indicator 1: Share of EU agricultural exports in world market  

264  As  of  Draft  budget  2016  the  climate  action  contribution  is  calculated  accordingly:    the  payment  for  agricultural  practices  beneficial  for  the  climate  and  the 
environment (budget item 05 03 01 11) is split into three equal tiers, in analogy to the three compulsory farming practices applicable. The tiers receive the following 
Rio marker: The Rio markers take into account the climate contribution of the three compulsory green direct payment obligations: 1st tier 0% (crop diversification), 
2nd tier 40% (ecological focus area), 3rd tier 100% (permanent grassland);  - plus a Rio marker of 40% applied to 20% of the remaining direct payments taking into 
account cross-compliance (i.e. 8% of budget chapter 05 03 direct payments without payment for agricultural practices beneficial for the climate and the environment 
and without payments for the Small farmers scheme which are not subject to cross compliance). 
265 As of Draft Budget 2016, with the new direct payments' schemes fully implemented, the contribution to biodiversity is calculated as follows: 
- for the payment for agricultural practices beneficial for the climate and the environment (budget item 05 03 01 11) a Rio marker of 40% is applied; 
-  plus  a  Rio  marker  of  40%  is  applied  to  10%  of  the  remaining  direct  payments  taking  into  account  cross-compliance  (i.e.  4%  of  budget  chapter  05  03  Direct 
payments without payment for agricultural practices beneficial for the climate and the environment and without payments for the Small farmers scheme which are 
not subject to cross compliance). 

239/555 

 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Former results (2012) 

18.5% 

2014 
16.9% 

Actual results  

2015 

2016 

2017 
17% 

2018 

2019 

Target 2023 

Share in world market maintained 

Indicator 2: Share of value added for primary producers in the food chain 

Former results 

Latest known result 

Target 

(2014 – EU-28) 

Primary sector 
Processing sector 
Retail sector (including 
service activities) 

Value added 
(in EUR billion) 
221 
226 
422 

2015 - EU-28 

Primary sector266 
Processing sector 

Retail sector (including service activities)267 

Value added 
(in EUR billion) 
214 
237 
455 

Improved situation of 
primary producers in 
the food chain 

Specific Objective 2: To foster market stability 
Indicator  1: Export  refunds  Ratio  of  the  volume  of  the  products  exported  with  export  refunds  and  the  total  EU  production  per 
given period 

Former results 

Latest known result 

Target 

Beef: 0% (December 2016) 
Pig meat: 0% (December 2016) 
Poultry: 0% (December 2016) 
Cereals, rice and sugar: 0% (December 2016) 

Beef: 0% (December 2017) 
Pig meat: 0% (December 2017) 
Poultry: 0% (December 2017) 
Cereals, rice and sugar: 0% (December 2017) 

0% - Used only in case of market crisis 
(seen against market developments) 

Indicator 2: Public intervention, ratio of volume of the products bought in the intervention storage and the total EU production of 
those respective products  

Former results  

2013 

2014 

(Skimmed milk powder 
(SMP) 

Actual results  

2015 

2.7% 

2016 

2017 

2018 

21.4% 

2.1% 

Target  

0 - Used only in case of market 
crisis (seen against market 
developments) 

Indicator  3: Private  storage,  Ratio  of  volume  of  the  products  placed  into  the  publicly  aided  private  storage  and  the  total  EU 
production of those respective products 

Former results 

Butter: 6.0% (2016) 
SMP: 5.7% (2016) 
Cheese: 0.6% (2016) 
Pigmeat: 0.4% (2016) 

Latest known result 

Butter: 0% (2017) 
SMP: 1.8% (2017) 
Cheese: 0% (2017) 
Pig meat: 0% (2017) 

Target 

0 - Used only in case 
of market crisis (seen 
against market 
developments) 

Specific Objective 3: To better reflect consumer expectations 
Indicator 1: EU commodity prices compared to world prices 

Former and Latest known results (data as of 12 January 2018*) 

Target 

266   Primary and processing sector: Eurostat - National accounts 
267   Eurostat - Structural Business Statistics 

240/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

 Ratio EU/world price 
Beef (Australia) 
Beef (Brazil) 
Pigmeat (US) 
Pigmeat (Brazil) 
Poultry 
Soft wheat 
Maize 
Barley 
Sugar 
Butter 
Cheddar 
WMP 
SMP 
Weighted average 

2008 

2009 

1.50 
1.59 
1.59 
1.22 
1.64 
1.11 
1.16 
1.01 
2.48 
1.08 
1.08 
1.04 
0.98 
1.31 

1.69 
1.79 
1.59 
1.45 
1.56 
1.00 
1.10 
1.04 
1.58 
1.47 
1.17 
1.18 
1.10 
1.37 

2010 
1.26 
1.36 
1.16 
1.00 
1.29 
0.99 
1.19 
0.97 
1.04 
1.09 
0.95 
1.02 
0.93 
1.11 

2011 
1.21 
1.33 
1.12 
1.13 
1.63 
1.07 
1.04 
0.99 
1.10 
1.17 
1.03 
1.07 
0.90 
1.15 

2012 
1.19 
1.61 
1.19 
1.37 
1.38 
1.04 
0.98 
1.00 
1.55 
1.19 
1.14 
1.09 
0.95 
1.20 

2013 
1.24 
1.72 
1.21 
1.25 
1.23 
1.04 
1.04 
0.98 
1.90 
1.27 
1.10 
0.98 
0.90 
1.20 

2014 
0.98 
1.46 
0.94 
1.02 
1.14 
1.02 
1.13 
0.98 
1.62 
1.23 
1.12 
1.11 
0.97 
1.12 

2015 
0.95 
1.50 
1.02 
1.10 
1.08 
0.94 
1.03 
0.99 
1.24 
1.06 
1.03 
1.10 
0.96 
1.08 

2016 
1.03 
1.49 
1.15 
1.25 
1.11 
0.99 
1.11 
0.95 
0.99 
1.09 
1.02 
1.06 
0.99 
1.11 

2017 
1.01 
1.56 
1.18 
1.24 
1.04 
1.04 
1.16 
0.96 
1.26 
1.07 
1.00 
1.07 
0.98 
1.13 

Note: World price references are mainly based on US prices for meat and crops and Oceania for dairy products, except for beef (Australia), Barley (Black 
Sea) and Sugar (London white sugar 05).  

* The monthly EUR-USD exchange rate as communicated by Eurostat applied to data in USD 

Expenditure related outputs 
Note: Refers to specific objectives 1 to 3 

Outputs 

Fruit  &  vegetables:  Proportion  of  the  value  of  production  marketed  through 
producer organisations (POs) in value of the total production268 
Olive  oil  and  table  olives  national  support  programmes  –  Number  of  co-
financed programmes 
Wine: National support programmes–Restructuring: Number of hectares 
Wine: National support programmes – Investments and promotion: Number of 
projects and beneficiaries 

Public intervention: Volume of intervention stocks 

Private storage: Volume of private storage in tonnes (dairy) 

Budget line 

05 02 08 03 

05 02 06  

05 02 09 08 

05 02 09 08 

05 02 12 

05 02 12 

Apiculture:  National  programmes  for  the  apicultural  sector:  number  of 
programmes (% of expenditure on available funds previous year) 
Horizontal promotion programmes: Number of programmes accepted 
School scheme (EU school fruit, vegetables and milk scheme applicable since 1 
August 2017): number of beneficiaries per school year271 

05 02 15 06 

05 02 10  

05 02 18  

Draft Budget 2019 

Number 

EUR million 

47%269 

115 (2015-2017)270 

75 000 

7 000 

363 300 t (ending stock Sept 
2017) 
skimmed milk powder (SMP) 
enhanced : residual amounts on 
2016/2017 buying-in 

28  

62 (2017) 

Around 18 million children 

749 

44 

470 

400 

9 

0 

35 

184 

217 

Outputs 

Fruit & vegetables: Proportion of the value of 
production marketed through producer organisations 
(POs) in value of the total production 
Olive oil and table olives national support 
programmes. – Number of co-financed programmes. 
Wine: National support programmes – 
Restructuring: Number of hectares 
Wine: National support programmes – Investments 
and promotion: Number of projects and beneficiaries 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

44.9% 

47% 

45.4% 

48.1% 

48.3%272 

47.2%273 

115 

115 

115 

115274 

115 

50 000 

55 000 

81 000 

80 000 

73 500 

75 000 

5 000 

3 500 

6 500 

6 500 

7 000 

7 000 

Public 
stocks275 

intervention:  Volume  of 

Butter: 
0 
SMP: 
17 000 
Private storage: Volume of private storage in tonnes  Butter:  Butter: 

intervention 

0 

Butter: 0 
SMP: 
355 200 

363 300 

312 700 

247 700 

Butter: 

Butter: 0 

0 

0 

268   The budget figure relates to appropriations and is after deduction of the estimated assigned revenue to be available to this item at EUR 100 million for 2019. 
269   Estimated organization rate and EU contribution to the Operational Funds based on 2015 annual reports 
270   Notification on programmes for the new programming period (2018-2020) for olive oil and table olives Programmes will be available by 1 May 2018. 
271  Output by 31 January 2019 Estimate based on the historical output of the two previously separate school schemes (latest figures, for 2016/2017 school year: 
around  12,2  million  children  participating  in  the  EU  school  fruit  and  vegetables  scheme  and  around  18,6  million  children  participating  in  the  school  milk 
scheme. The estimate for the new merged scheme does not add such figures as in most Member States the same children will receive school fruit/vegetables and 
school  milk.  The  exact  figures  on  the  number  of  beneficiaries  of  the  school  scheme  will  be  included  in  the  Member  States’  annual  monitoring  reports  on 
2017/2018 school year that are due by 31 January 2019.  

272   Estimated based on data available (data non complete) 
273   Estimated based on data available (data non complete) 
274   2018 and 2019 - estimated (data not complete) 
275   Expected ending stocks (end of September). 

241/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
Outputs 

(dairy) bought in calendar year 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

2018 

2019 

2020 

2017 
SMP: 26 000 
Cheese: 0 

2014 
22 000 
SMP: 
17 000 

2015 
141 00
0 
SMP: 
52 000 
Cheese: 
32 000 

2016 
144 000 
SMP: 
89 000 
Cheese: 
53 000 

Apiculture: National programmes for the apicultural 
sector: number of programmes (% of expenditure on 
available funds previous year) 

No 
indicator 

28 

28 (93% 
in 2015) 

28 (94% in 
2016) 

28 (90% in 
2017)  

28 (2018) 

Horizontal  promotion  programmes:  Number  of 
programmes accepted 276 

34 (2012 
decision) 

8.5  
million 
children  
in  
2011/201
2 
school 
year 

19.6 
million 
children 
and  
309 164 
tonnes 
(school 
year 
2012-13) 

School  fruit  and  vegetable  scheme:  Number  of 
beneficiaries per school year 

School milk scheme: Number of beneficiaries and 
quantity  of  milk  and  milk  products  on  which  aid 
has been paid per school year 

School  scheme:  Number  of  beneficiaries  per 
school year 

44 
(2013 
decisio
n) 
8.6   
million 
childre
n 
 in 
2013/2
014 
school 
year 
19.1 
million 
childre
n and 
312 54
6546 
tonnes 
(school 
year 
2013-
14) 

47 (2014 
decision) 

74 (2015 
decision) 

66 (2016 
decision and 
grant 
agreement) 

62 (2017 
decision and 
grant 
agreement) 

10.28 
million 
children  
in 
2014/201
5 school 
year 

20.1 
million 
children 
and  
308 732 
tonnes 
(school 
year 
2014-15) 

11.7 million 
children 
in 
2015/2016 
school year 

12.2 million 
children 
in 
2016/2017 
school year 

18.6  million 
children and  
308 606  
tonnes 
(school year 
2015-16) 

18.1 million 
children and  
285 660  
tonnes 
(school year 
2016-17) 

Around 18 
million 
children in 
2017/2018 
school 
year277 

(appropriations + EUR 215 million) 
2 758.1 
2 358.1 
400.0 
2 613.2 
2 513.2 
100.0 

Justification of changes to the financial programming and/or to the performance information 

05 02 – Markets 
Needs in 2018 budget: 
Appropriations requested in 2018 budget: 
Estimated assigned revenue available in 2018 budget: 
Needs in 2019 DB: 
Appropriations requested in 2019 DB:   
Estimated assigned revenue available in 2019 DB: 

The  estimated  budgetary  needs  for  market  expenditure  in  2019  are  lower  than  in  budget  2018.  In  particular,  in  the  fruit  and 
vegetables  sector,  the  Draft  Budget  2019  does  not  include  any  appropriations  for  exceptional  support  measures  linked  to  the 
prolonged Russian import embargo on certain EU agricultural products.  

The fruit and vegetables, dairy and pig meat markets remain particularly sensitive to prolongations of the Russian embargo or poor 
global economic performance in general. Overall, the uncertainty regarding the outlook for most agricultural markets remains and 
especially the doubts concerning the duration of the Russian embargo play a role in the development of the export demand for  EU 
agro-food products. Moreover, outbreaks of African swine fever and cases of avian influenza in several Member States have caused 
considerable  market  disturbance  in  the  affected  areas.  The  Draft  Budget  2019  includes  no  appropriations  for  market  support 
measures related to outbreaks of animal diseases as this information is currently unknown. 

Despite the uncertainties, the Commission has based its estimates on a favourable outlook with balanced markets and foresees  to 
update its estimates in an Amending Letter to the Draft Budget 2019 in light of actual developments 

276  As of 2016, because of the reform of the promotion policy, programmes granted under direct management are also taken into account. 
277 Estimate: figures available by 31/1/2019. 

242/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

When  taking  into  account  an  estimated  amount  of  EUR  100  million  foreseen  to  be  covered  by  assigned  revenue,  the  requested 
appropriations for this chapter become EUR 2 513.2 million, which is an increase of EUR 155 million compared to 2018.  

The main changes in the appropriations requested for 2019 compared to the 2018 budget are presented below. 

05 02 06 – Olive oil 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations – -2 EUR million) 
46.1 
44.1 

The requested appropriations for the Draft Budget 2019, primarily for the quality improvement measures, are slightly lower than in 
Budget 2018 reflecting the observed trend in the execution. No aid for private storage is foreseen in the Draft Budget 2019. 

05 02 08 – Fruit and vegetables 
Needs in 2018 budget: 
Appropriations requested in 2018 budget: 
Estimated assigned revenue available in 2018 budget: 
Needs in 2019 DB: 
Appropriations requested in 2019 DB:   
Estimated assigned revenue available in 2019 DB: 

(appropriations + EUR 223.3 million) 
931.8 
531.8 
400.0 
855.1 
755.1 
100.0 

In total the needs for this sector are expected to decline by EUR 76.7 million but as the amount of assigned revenue estimated to be 
available for this article decreases by EUR 300 million to EUR 100 million in Draft Budget 2019, the appropriations requested in 
the Draft Budget 2019 increase by EUR 223.3 million.  

The decrease in needs as compared to Budget 2018 is due to several factors, the main reason being that the Draft Budget 2019 does 
not  include  appropriations  for  exceptional  measures  for  fruit  and  vegetables  linked  to  the  Russian  embargo.  Moreover,  needs  in 
2019  for  the  School  Fruit  Scheme  correspond  only  to  residual  amounts  for  school  year  2016-2017.  Furthermore,  the  budgetary 
needs for the aid to producer groups for preliminary recognition are expected to decrease further, in line with the phasing out of this 
measure in the EAGF. On the other hand the needs for the operational funds for producer organisations increase in 2019, reflecting 
an upward evolution in notifications of plans by Member States and a steady level of execution observed over recent years. 

05 02 09 – Wine 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations – EUR 22.9 million) 
1 058.0 
1 035.1 

The appropriations requested  for budget article 05 02 09 decrease compared to Budget  2018. The expectations are derived from 
information provided by the Member States and from the execution profile of previous years. As 2019 will be the first year of the 
new National Support Programmes 2019-2023, the estimates reflect an expectation of execution specific to the first year of the new 
programming period, when programmes need to kick-off and are not yet fully operational. 

05 02 10 – Promotion 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations + EUR 12.5 million) 
171.6 
184.1 

Appropriations  requested  for  information  and  promotion  measures  (under  shared  management)  for  item  05  02  10  01  reflect  the 
need  for  the  financing  of  the  Member  States'  programmes  for  which  funding  has  been  decided  by  the  Commission  before  1 
December 2015 and for "simple" programmes278 granted after that date. This is based on the expenditure estimated in the financial 
statement accompanying the Commission proposal for the policy reform and taking into account the implementation pattern of the 
recent years.  
Under  item  05  02  10  02,  appropriations  are  requested  to  finance  "multi"  programmes279,  granted  after  1  December  2015  and 
information and promotion measures, all managed directly by the Union. As from 2017 these measures include promotion activities 
entirely delegated to the executive agency CHAFEA. The requested commitment and payment appropriations are in line with  the 
estimates in the financial statement accompanying the Commission proposal.  

05 02 11 04 – POSEI 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations + EUR 0 million) 
231.0 
231.0 

The appropriations requested for this item take into account the programme modifications made by Member States and a continued 
high level of execution of the overall ceilings. This evolution is also reflected in the budget lines 05 03 02 50 and 05 03 02 52. 

05 02 12 – Milk and milk products (excluding 05 02 12 09) 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations - EUR 24.8 million) 
34.1 
9.3 

The budgetary needs for the dairy sector in 2019 decrease compared to the 2018 budget. This is due to the needs for the School 
Milk Scheme which correspond in budget year 2019 only to residual amounts for school year 2016/2017. 

278   Simple programmes are programmes submitted by 1 or more proposing organisations from 1 Member State. 
279   Multi programmes are programmes submitted by at least 2 proposing organisations from at least 2 Member States or by 1 or more Union (trade or inter-trade) 

organisations. 

243/555 

 
 
 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

05 02 15 – Pig meat, eggs, poultry meat and beekeeping 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations - EUR 60.0 million) 
95.0 
35.0 

The requested appropriations for this article relate to the aid for beekeeping, at EUR 35 million, following the observed execution 
trend  for  in  the  current  programmes.  So  far,  no  needs  are  foreseen  in  the  Draft  Budget  2019  for  exceptional  measures  linked  to 
outbreaks of animal diseases.  

05 02 18 – School scheme  
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

(appropriations + EUR 29.0 million) 
188.0 
217.0 

Requested appropriations for this article relate to the School Scheme for which the reform applies as from 1 August 2017 with a 
total  envelope  of  EUR  250  million  per  school  year.  Appropriations  requested  for  the  Draft  Budget  2019  are  derived  from 
information provided by the Member States and from the execution profile in previous years of the expiring school schemes and 
relate to the proportionate implementation of the school year 2017/2018 and of the school year 2018/2019 in financial year 2019. 

Specific Objective 4: To sustain farmers' income stability by providing direct income support 
Indicator 1: Share of direct support in agricultural entrepreneurial income (family farm income) 

Former and Latest known results 

2010 

46 % 

2011 

42 % 

2012 

43 % 

2013 

41 % 

2014 

42 % 

2015 

44 % 

2016 

44% 

Target 

To maintain the ratio 
stable 

Specific Objective 5: To promote a more market oriented agriculture, by ensuring a significant level of decoupled income support 
Indicator 1: % of total direct payments which is decoupled 

Former results 
Calendar year 2015/budget year 2016: 88.89%280 
Calendar year 2014/budget year 2015: 92.69% 
Calendar year 2013/budget year 2014: 93.54% 
Calendar year 2012/budget year 2013: 93.24% 
Calendar year 2011/budget year 2012: 92.13% 

Latest known result 

Target 

Calendar year 2016/budget year 2017: 
88.87%281 

Calendar year 2018/budget year 2019: 
88.63%282 
Calendar year 2017/budget year 2018: 
88.63% 283 

Specific  Objective  6: Contribute  to  the  enhancement  of  the  environmental  performance  of  the  CAP  through  the  greening 
component  of  the  direct  payments.  Contribute  to  the  development  of  sustainable  agriculture  and  to  making  the  Common 
Agricultural  Policy  more  compatible  with  the  expectations  of  the  society  through  the  cross  compliance  system.  Contribute  to 
preventing soil erosion, maintaining soil organic matter and soil structure, ensuring a minimum level of maintenance and avoiding 
the  deterioration  of  habitats,  and  protecting  and  managing  water  through  the  standards  of  good  agricultural  and  environmental 
condition of land. 
Indicator 1: % of CAP payments covered by cross compliance 

2012 
79.4% 

2013 
82.4% 

Former results 
2014 
83.5% 

2015 
85.7% 

2016 
81.6% 

Latest known result 
2017 
84.8%284 

Target 

Maintain the %-age 

Indicator 2: Opinion expressed by the public on cross compliance 

Former results 
83% support the reduction of direct payments to farmers not complying 
with environmental rules 
84% support the reduction for non-compliance of animal welfare rules 
86% support the reduction of direct payment to farmers not respecting 
food safety rules285 

Latest known result 
87% support the reduction of direct payments to farmers not 
complying with environmental rules 
87% support the reduction for non-compliance of animal welfare rules 
87% support the reduction of direct payment to farmers not respecting 
food safety rules286 

Target 

Maintain the 
positive opinion 

Indicator 3: Control rate for GAEC 

Former results 

Latest known result 

100 % - In 2015, all paying agencies fulfilled the mandatory 
control rate (France and Sweden still to notify their data). 

100 % - In 2016, all paying agencies fulfilled the mandatory control 
rate (Bulgaria, France and Sweden still to notify their data)287. 

Target 
100% implementation of the 
minimum regulatory control 
rate 

280   Execution of the Budget 2016. As from financial year 2016 the figures take into account that in accordance with the methodology for implementation of the 

Small farmers scheme, as chosen by the Member States, part of the expenditure under that scheme is "decoupled".  

281   Execution of the Budget 2017 provisional figures.  
282 Draft Budget 2019, based on estimated needs and excluding the crisis reserve. 
283   Budget 2018, based on estimated needs and excluding the crisis reserve 
284   Execution of the Budget 2017 provisional figures 
285   Results of the Special Eurobarometer "Europeans, Agriculture and the Common Agricultural Policy" published in 2007 
286 Results of the latest Special Eurobarometer "Europeans, Agriculture and the Common Agricultural Policy" published in 2015 
287 GAEC stands for Standards of Good Agricultural and Environmental Condition. GAECs form part of the requirements under Cross Compliance and apply to 

anyone receiving direct payments (except under the small farmers scheme) and/or support under certain rural development schemes. 

244/555 

 
 
 
 
 
 
 
 
 
 
 
                                                           
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Indicator 4: The ratio of permanent grassland within a Member State in relation to the total agricultural area 

Former results 

Latest known result 

Target 

Ratio has not 
decreased beyond 
the limit of 5% 

In 2015: 2 MS, a French region and a UK region communicated a ratio of permanent grassland 
above the threshold of 5%. Of these MS, 1 communicated to have triggered a reconversion 
obligation.  
In 2016: 3 MS and a French region communicated a ratio of permanent grassland above the 
threshold of 5%. 3 of these MS communicated to have also triggered a reconversion obligation. 
In 2017: 2 MS and a French region communicated a ratio of permanent grassland above the 
threshold of 5%. None of these MS communicated to have triggered a reconversion obligation288. 

Maintain the ratio 
within the limit of 5% 
in relation to a 
reference ratio289 

Indicator 5: Share of area under greening practices 

Former results 2014 

2014 
n.a. 

2015 
75% 

2016 
77% 290 

2017 

2018 

2019 

Actual results  

Target 2023 

Maintain the share 

Expenditure related outputs 
Outputs relate to specific objectives 4 to 6 

Outputs 

Single area payment scheme (number of hectares to be paid in thousands) 
Basic payment scheme (number of hectares to be paid in thousands)292 
Payment  for  agricultural  practices  beneficial  for  the  climate  and  the 
environment (number of hectares to be paid in thousands) 
Voluntary coupled support  (number of hectares to be paid in thousands) 
Voluntary coupled support  (number of heads to be paid in thousands) 

Budget line 

05 03 01 02 
05 03 01 10 

05 03 01 11 

05 03 02 60 
05 03 02 60 

Draft Budget 2019 

Number291 

EUR million 

39 458 
109 444 

150 392 

9 644 
102 795 

4 262 
16 707 

11 652 

3 960 

Outputs 

2014 

2015 

2016* 

2017* 

2018* 

2019* 

2020 

N/A 

41 347 

40 740 

41 360293 

Single  area  payment  scheme  (number  of  hectares  to  be 
paid in thousands) 
Basic payment scheme (number of hectares to be paid in 
thousands) 
Payment  for  agricultural  practices  beneficial  for  the 
climate  and  the  environment  (number  of  hectares  to  be 
paid in thousands) 
Voluntary  coupled  support    (number  of  hectares  to  be 
paid in thousands) 
Voluntary coupled support  (number of heads to be paid 
in thousands) 
* Source: CATS (Clearance of Accounts Audit Trail) control data for claim year 2015 (not covering area paid under the Small Farmer Scheme), assumptions needed 
for certain MS/measures (missing data) (date: 21/12/2016). 

109 444 

150 392 

102 795 

109 444 

150 392 

102 795 

109 653 

109 444 

150 392 

150 392 

102 795 

39 458 

39 458 

75 887 

39 458 

9 644 

9 644 

8 740 

9 644 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Justification of changes to the financial programming and/or to the performance information 

05 03 – Direct payments 
Needs in 2018 budget before financial discipline (incl. crisis reserve):  
Needs in 2018 budget after financial discipline: 
Appropriations in 2018 budget after financial discipline: 
Estimated assigned revenue available in 2018 budget: 
Amount of financial discipline in 2018 budget (incl. crisis reserve): 

Needs in 2019 DB before financial discipline (incl. crisis reserve): 
Needs in 2019 DB after financial discipline: 
Appropriations requested in the 2019 DB after financial discipline: 
Estimated assigned revenue available in 2019 DB: 
Amount of financial discipline in 2019 DB (incl. crisis reserve): 

(appropriations + EUR 313 million) 
42 204 
41 745 
40 669 
1 076 
459.5 

41 900 
41 431 
40 982 
449 
468.7 

288 Provisional information based on 2015 communications from all MS as the notifications are still under assessment. 2016 notifications sent by 27 MS and 2017 

notifications sent by 22 MS at the time of preparation of the DB. 

289 The maintenance of the ratio of permanent grassland means that there should not be, at national or regional level, a decrease by more than 5% of the current ratio 

of permanent grassland in relation to the total agricultural area by comparison with a reference ratio reflecting this ratio at a reference period. 

290 Year 2015: including notifications all MS. Year 2016: Including notifications from 27 MS (all excluding France), so the indicated share is provisional. The share 
is calculated as total agricultural area for farms with at least one greening obligation on total agricultural area from Eurostat statistics revised by DG AGRI. 
291 Best estimate based on available information. Sources: For the single area payment scheme, basic payment scheme and the payment for agricultural practices 

beneficial for the climate and the environment: CATS control data for claim year 2015 (not covering area paid under the Small Farmer Scheme), assumptions 
needed for certain MS/measures (missing data) (date: 21/12/2016). For Voluntary coupled support: based on notified quantitative limits for claim year 2016. 
292 The budget figure relates to appropriations and is after deduction of the estimated assigned revenue to be available to this item at EUR 449.1 million for 2019. 
293 Agricultural area under SAPS (Annex VIII to Commission Regulation (EC) No 1121/2009). 

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The maximum amount of direct payments which a Member State may pay in a financial year (excluding the amounts covered by 
Specific Objective 7) is limited by the ceiling set in Annex III to Regulation (EU) No 1307/2013. For calendar year 2018 (financial 
year 2019), the total of Annex III amounts to EUR 41 378 million, a EUR 272 million decrease compared to calendar year 2017. 
This decrease is due to an option to review of the flexibility between the pillars294 according to which Member States may transfer 
amounts between the envelopes for direct payments and rural development. In the review additional funds were transferred to rural 
development  by  3  Member  States,  thereby  leading  to  a  decrease  of  the  ceilings  in  Annex  III.  The  allocation  of  the  national 
envelopes to the different schemes depends to a large extent on Member States' decisions. Certain changes between schemes have 
occurred, reflecting Member States' implementation choices. 

In the period 2014-2020 the financial discipline adjustment is taken into account in establishing the needs for direct payments in 
line with the provisions of Regulation (EU) 1306/2013. As there is a margin within the EAGF sub-ceiling of Heading 2 of the MFF, 
the  amount  of  financial  discipline  in  the  Draft  Budget  2019  relates  only  to  the  establishment  of  the  crisis  reserve  at 
EUR 468.7 million, similar to 2018 where the crisis reserve amounts to EUR 459,5 million. The need for financial discipline will 
be re-assessed, as appropriate, in the context of the autumn Amending Letter to the Draft Budget 2019. 

For direct payments (chapter 05 03), the budgetary needs after financial discipline decrease by EUR 314 million to an amount of 
EUR 41 431 million in 2019. Requested appropriations for this chapter increase however by EUR 313 million, as significantly less 
assigned  revenue  is  expected  to  be  available  to  finance  the  Basic  payment  scheme  (BPS)  (from  EUR 1 076 million  in  2018  to 
EUR 449 million in 2019). As a consequence, the requested appropriations amount to EUR 40 982 million in 2019, including the 
appropriations for the crisis reserve of EUR 468.7 million which are entered into article 05 03 10. 

The overall decrease in the budgetary needs compared to 2018 is mainly a result of the mentioned review of flexibility decisions 
which reduced the ceilings set in Annex III.  

As the financial year 2019 (corresponding to calendar year 2018 for direct payments) is the fourth year after the reform of the direct 
payments, two items covering schemes under the repealed Regulation (EC) No 73/2009 as well as budget article 05 03 03 covering 
residual payments for "additional amounts of aid" are merged into the items 05 03 01 99 and 05 03 02 99 as covering only residual 
payments. 

05 03 01– Decoupled direct payments 
Needs in 2018 budget before financial discipline:  
Needs in 2018 budget after financial discipline: 
Appropriations in 2018 budget after financial discipline: 
Estimated assigned revenue available in 2018 budget: 

Needs in 2019 DB before financial discipline: 
Needs in 2019 DB after financial discipline: 
Appropriations requested in the 2019 DB after financial discipline: 
Estimated assigned revenue available in 2019 DB: 

(appropriations + EUR 362 million) 
35 788 
35 385 
34 309 
1 076 

35 531 
35 120 
34 671 
449 

As regards decoupled direct payments, the estimated needs (after financial discipline) amount to EUR 35 120 million. Requested 
appropriations  for  this  article  become  EUR 34 671 million  (+EUR  362   million  compared  to  2018)  after  taking  into  account  the 
reductions due to financial discipline and the expected assigned revenue to be available to this article (EUR 449 million)  

The  needs  after  financial  discipline  for  the  basic  payment  scheme  (BPS)  are  estimated  at  EUR 17 156 million  which  is 
EUR 246 million lower than in 2018. This is linked to the overall decrease of the Annex III ceilings with a very slight downward 
adjustment of the expected execution rate. The needs after financial discipline for the Single area payment scheme (SAPS) amount 
to  EUR 4 262 million  and  increase  by  EUR 100 million  compared  to  the  budget  year  2018  reflecting  an  increase  in  the  annual 
ceiling but with a slight downward adjustment of the expectations to the execution rate based on the experience with the scheme. 

The  needs  for  the  Payment  for  agricultural  practices  beneficial  for  the  climate  and  the  environment  are  estimated  at 
EUR 11 652 million after financial discipline, EUR 87 million lower than 2018, also mainly reflecting the decrease of the national 
ceilings in Annex III. 

For the Redistributive payment needs remain relatively stable at EUR 1 658 million after financial discipline, just  EUR 8 million 
less  than  in  2018.The  needs  for  the  young  farmer  scheme  are  estimated  at  EUR 381 million  after  financial  discipline, 
EUR 10 million less than in financial year 2018.  

05 03 02 – Other direct payments295 
Needs in 2018 budget before financial discipline:  
Appropriations in 2018 budget after financial discipline: 
Needs requested in 2019 DB before financial discipline: 
Appropriations requested in the 2019 DB after financial discipline: 

(appropriations - EUR 57 million) 
5 514 
5 463 
5 458 
5 406 

294   Article 14 of Regulation (EU) No 1307/20113 
295 

 Not including measures covered under specific objective 7 (POSEI) 

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For the other direct payments, estimated needs are at EUR 5 406 million after financial  discipline, a decrease by EUR 57 million 
compared to 2018 budget. This decrease in the estimated needs is mainly an effect of the decrease of the national ceilings in Annex 
III. The needs for the Voluntary coupled support scheme decrease accordingly to EUR 3 960 million after financial discipline. 

The  reform  has  introduced  several  mechanisms  of  cross-financing  of  schemes.  This  applies  for  instance  to  the  Small  farmers 
scheme which is financed from the ceilings available for other schemes. Based on the experience with the execution in financial 
year 2017, the needs for this scheme are estimated at EUR 1 201 million, EUR 23 million lower than in 2018. 

05 03 10 – Reserve for crises in the agricultural sector 
Appropriations requested in the 2018 budget: 
Appropriations requested in the 2019 DB: 

(appropriations + EUR 9.2 million) 
459.5 
468.7 

In accordance with Article 25 of Regulation (EU) No 1306/2013, a crisis reserve has to be established by applying, at the beginning 
of each year, a reduction to direct payments with the financial discipline mechanism. For financial year 2019, the amount of the 
crisis reserve corresponds to EUR 468.7 million (in current prices). 

Specific  Objective  7: To  promote  local  agricultural  production  and  to  ensure  a  fair  level  of  prices  for  commodities  for  direct 
consumption and for processing by local industries in the Outermost Regions of the EU and in the Aegean Islands 
Indicator  1: Support  to  the  Local  Production  (SLP)  to  maintain/develop  the  agricultural  production:  Utilised  agricultural  area 
(variation with respect to the previous year)* 

Former results 

POSEIDOM: 
Guadeloupe: 30 965 ha 
Martinique: 23 822 ha 
Guyane: 29 425 ha 
Réunion: 43 411 ha 

POSEICAN: 
Canaries: 83 221 ha 

POSEIMA: 
Madeira: 5 262 ha 
Azores: 118 589 ha 

Smaller Aegean Islands: 321 455 ha 

Latest known result296 
POSEIDOM: 
Mainland France: 26 832 353 ha (-0.2%) 
Guadeloupe: 30 415 ha (-3.14%) 
Martinique: 22 827 ha (-6.61%)Guyane: 31 208 ha (+9.02%) 
Réunion: 41 945 ha (-4.3%) 
Mayotte 8 739 haPOSEICAN: 
Mainland Spain: 23 432 700 ha (-0.38%) 
Canaries: 86 000 ha (+1.24%) 

POSEIMA: 
Mainland Portugal: 3 641 592 ha (-0.7%) 
Madeira: 5 262 ha (-3.1%: with respect to 2009 data) 
Azores: 118 589 ha (-1.5%:with respect to 2009 data) 

Smaller Aegean Islands: 309 882 ha (-6.97%) 

Target 

To at least maintain and 
develop the agricultural 
production 

Indicator 2: Specific Supply Arrangements (SSA) to ensure the supply of essential products: SSA coverage rate (relation between 
quantities of products benefiting from SSA support and total quantities of the same products introduced in the respective outermost 
region) 

Former results 
POSEIDOM (all products): 39%  
POSEICAN (cereals only): 97.3%  
POSEIMA 
Madeira (cereals only): 99.2%  
Azores (cereals only): 83.1%  
Smaller Aegean Islands (animal feed stuff only): 99.4%  

Latest known result 
POSEIDOM 297 (all products): 36%  
POSEICAN (cereals only): 99.5%  
POSEIMA 
Madeira (cereals only): 99.8%298 
Azores (cereals only): 82.4% 
Smaller Aegean Islands (animal feed stuff only): 99.8% (+0.4%) 

Target 

SSA coverage 
rate of 100% 

Indicator 3: Specific  Supply  Arrangements (SSA) to ensure  an equitable level of prices for essential products: Price  index  with 
respect to the price in the mainland for some representative products or baskets of products 
Latest known result 
POSEIDOM: 
Average of 5 DOM/métropole: 7.7% 

Former result 
POSEIDOM : 
Average of 5 DOM/métropole: 14.7% 

Target 

POSEICAN:  
Canaries: 
-Wheat (100kg): 126% 
-Milking cow's animal feed (100kg): 13%  
-Beef cattle animal feed (100kg): 19%  

POSEICAN: 
Canaries: 
-Wheat (100kg): 92%  
-Milking cow's animal feed (100kg): -14%  
-Beef cattle animal feed (100kg): 0%  

Reduction of the gap 
with mainland prices 

POSEIMA: 

POSEIMA: 

296   The Annual Implementation Report (AIR) transmitted by Member States in year N provides data corresponding to year N-1. In this sense, the column "former 

results" shows data from 2015 extracted from the AIR transmitted in 2016, while the column "latest known result" shows 2016 data from the AIR transmitted in 
2017. Yet, Spain's data are gathered late; former results, extracted from the 2015 AIR correspond to 2014, whereas the latest available data included in the 2016 
AIR are from 2015. In addition, Portugal's farm structure data are collected every five years (data are available for 2009 and 2013), thus both former data and 
latest known data refer to year 2013. Nevertheless, the variation is calculated with respect to the previous available data, i.e. 2009. 

297   The French authorities use in their annual reports a different methodology and data source to calculate this indicator (calculation based on value and not 

quantities, data taken from customs sources and not from SSA operators). 

298   Data provided for Madeira is provisional, pending final validation by the Member State paying agency. 

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Madeira: 1% 
Azores: 
-rice: 7% 
-oil: 13% 
-bread: 16% 

Madeira: 1% 300 
Azores: 
-rice: 7%  
-oil: 17%  
-bread: 15%  

Smaller Aegean Islands299: 
-Animal feeding stuffs: 27% 
-Flour: 9.8% 

Smaller Aegean Islands: 
-Animal feeding stuffs: 29% (+2%) 
-Flour: 5.72% (-4.08%) 

In  their  annual  implementation  reports  for  2016,  the  Member  States  concerned  have  communicated  data  related  to  the  common 
performance  indicators,  as  requested  by  Annexes  VIII  and  II  to  Commission  Implementing  Regulations  (EU)  No  180/2014  and 
181/2014 respectively. However, the provided data  may not be fully in line with the requirements of these annexes  and thus not 
mutually  comparable.  Therefore,  these  indicators  shall  be  evaluated  with  due  caution.  Discussion  with  the  Member  States 
concerned is on-going in order to improve the collection of these data. 
Expenditure related outputs 

Outputs 

Regime for outermost regions of the EU: direct aids for banana reference 
area /quantities) 

Budget line 

05 03 02 50 

05 03 02 50, 05 03 02 52 

Draft Budget 2019 

Number 
ES: 420 000 tonnes 
PT: 19 160 tonnes 
FR: 319 084 tonnes 

Other 
TOTAL 

Outputs 

Regime for outermost regions of the EU: direct aids 
for banana reference area (quantities: tonnes) 

2014 
ES: 
371 013 
PT: 
17 742 
FR: 
251 733 

2015 
ES: 
371 013 
PT: 
17 742 
FR: 
251 733 

2016 
ES: 
420 000 
PT: 
19 160 
FR: 
319 084 

2017 
ES: 
420 000 
PT: 
19 160 
FR: 
319 084 

2018 
ES: 
420 000 
PT: 
19 160 
FR: 
319 084 

2019 
ES: 
420 000 
PT: 
19 160 
FR: 
319 084 

EUR million 

275 

161 
436 

2020 

Justification of changes to the financial programming and/or to the performance information 

05 03 02 50 – POSEI – European Union support programmes 
Appropriations requested in 2018 budget: 
Appropriations requested in 2019 DB:   

05 03 02 52 – POSEI - Smaller Aegean Islands 
Appropriations requested in 2019 budget: 
Appropriations requested in 2019 DB:   

(appropriations - EUR 1 million) 
420 
419 

(appropriations - EUR  0 million) 
17 
17 

For the support to the POSEI and Smaller Aegean Islands, the programmes are divided into two types of measures: specific supply 
arrangements financed under chapter 05 02 and support for the local products which are split into market aids (chapter 05 02) and 
direct payments (chapter 05 03). The variations for the market-related expenditure are explained above (see item 05 02 11 04). 

For  direct  payments,  the  level  of  requested  appropriations  remains  almost  unchanged  as  Member  States  notified  only  minor 
modifications of their programmes. Similar to budget 2018, the requested appropriations in the Draft Budget 2019 also take into 
account financial discipline. 

Specific Objective 8: To provide the Commission  with reasonable assurance that Member States have put in place  management 
and  control  systems  in  conformity  with  EU  rules  designed  to  ensure  the  legality  and  regularity  of  the  underlying  transactions 
financed by the EAGF, EAFRD, SAPARD and IPARD and, where this is not the case, to exclude the expenditure concerned from 
EU financing so as to protect the EU's financial interests 
Indicator 1: Percentage of expenditure (EAGF+EAFRD) with statistics or 100 % check 

Former results 

Latest known result 

94 % in 2014 claim year (FY 2015) 

98 % in 2015 claim year (FY 2016) 

Target 

95 % 

Expenditure related outputs 

Outputs 

Area of satellite imagery/data acquired for controls by Remote Sensing301 

Budget line 

05 07 01 02 

Draft Budget 2019 

Number 
420 000 km² 

EUR million 

9.13 

299   Smaller Aegean Islands' 2014 percentage data for this indicator was only available in the 2015 Annual Execution Report. 
300   Data provided for Madeira is provisional, pending final validation by the Member State paying agency and refers to prices for foodstuffs in general (indicator 
2b). Under the current POSEI Regulation indicator 2b is compulsory in the Annual Implementing Report. PT communicates no separate data for Indicator 2a 
and Indicator 2b. Therefore it was agreed to use for Indicator 3 in the Programme Statement the figure provided by PT under Indicator 2b "foodstuffs". 

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Outputs 

Area of satellite imagery/data acquired for controls by 
Remote Sensing 

2014 
380 000 
km² 

2015 
380 000 
km² 

2016 
500 000 
km² 

2017 
454 000 
km² 

2018 
414 000 
km² 

2019 
420 000 
km² 

2020 

Justification of changes to the financial programming and/or to the performance information 

05 07 01 02 – Monitoring and preventive measures - Direct payments by the 
Union 
Commitment appropriations requested in 2018 budget: 
Commitment appropriations requested in 2019 DB: 
Payment appropriations requested in 2018 budget: 
Payment appropriations requested in 2019 DB: 

(commitment appropriations –  EUR 0  million) 
(payment appropriations – EUR 0.8  million) 
EUR 9.1 million 
EUR 9.1 million 
EUR 9.9 million 
EUR 9.1 million 

In order to assist the Member States carrying out  on the spot checks and/or the checks by  monitoring on aid applications, some 
satellite imagery acquired is made available to the national authorities allowing them to determine the area of agricultural  parcels, 
to identify crops and verify their status. Compared to budget 2018 covering the costs for the acquisition of satellite image for 2019 
remains at the same level. Expenditure for related technical support needed to ensure and strengthen the quality and the technical 
implementation of the Integrated Administration and Control System (IACS) and the Land Parcel Identification System (LPIS) was 
committed in 2017 through an administrative arrangement for which no payment is foreseen in 2019. 

Specific  Objective  9: To  inform  and  increase  awareness  of  the  CAP  by  maintaining  an  effective  and  regular  dialogue  with 
stakeholders, civil society, and specific target audiences 
Indicator 1: Public awareness of CAP 

Former results 

The Latest Eurobarometer survey (field research 
October2015) shows that 94% of Europeans believe that 
agriculture and rural areas play an important role for their 
future and that 69% have heard about the support that the 
EU gives farmers through its CAP. 
There is a broad consensus on the key priorities of the 
CAP and its contribution to the strategic priorities of the 
Commission  

Latest known result 
The Latest Eurobarometer survey (field research November – 
December 2017 shows that 92% of Europeans believe that 
agriculture and rural areas play an important role for their future (-2 
percentage points since the last survey in 2015) and that 67% have 
heard about the support that the EU gives farmers through its CAP 
(-2 percentage points since the last survey).  
There is a broad consensus and strong support on the key priorities 
of the CAP and its contribution to the strategic priorities of the 
Commission. 

Target 

Maintain and if 
possible increase 
awareness of the 
CAP 

Indicator 2: Number of page visits on AGRI Europa website (in million) 

Former results  

2014 
5.8 

2015 
5.8 

Actual results  

2016 
5.2 

2017 
1.8 302 

2018 

2019 

Target 2023 

Maintain and if possible increase the number 
of page visits compare to previous year level 

Expenditure related outputs 

Output 

Budget line 

DB 2019 

Number of 
commitments 

EUR million 

Grants awarded to third party organisations to implement actions to 
improve the level of understanding of the CAP among EU citizens 
Media and web 
conferences, fairs, events - Networking 
Horizontal activities 
Corporate communication 
Total 

05 08 06 

05 08 06 
05 08 06 
05 08 06 
05 08 06 

15 

26 

1 

4 

4 

4.3 
12.3 

Outputs 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

third  party  organisations 
to 

to 
level  of 

the 

improve 

to 
actions 

Grants  awarded 
implement 
understanding of the CAP among EU citizens 
Media and web 
conferences, fairs, events, networking 
Horizontal activities 
Corporate communication 

11 

12 
5 
5 
1 

16 

9 
6 
6 
0 

18 

5 
12 
10 
1 

16 

9 
10 
7 
1 

15 

8 
12 
6 
1 

15 

26 

1 

301 Figures presented cover only Very High Resolution (VHR) images 
302   The discrepancies in the statistics comes from the fact that until 2016, Europa Analytics used SAS, which was a tool based on server logs. This means that 

everything was taken into account, even robots visits on the pages, and not only human visitors. Piwik the new system uses a method which takes into account 
only pages that have been effectively visited by humans. This is more accurate but the consequence is lower figures in the statistics. 

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Budget  article  05  08  06  Enhancing  Public  Awareness  of  the  CAP  is  foreseen  to  finance  the  communication  efforts  of  the 
Commission in relation to the CAP. 

The  overall  needs  for  Draft  Budget  2019  for  this  article  are  estimated  at  EUR  12.3  million.  This  includes  an  amount  of  EUR  4 
million destined for grants to third party organisations. Other external communication actions in 2019 financed under this budget 
article, such as conferences, media activities, attendance in fairs, publications,  web and social  media activities,  will focus on the 
relevance  of  the  CAP  in  particular  in  relation  with  the  growth,  jobs  and  investments  priority  theme  and  will  amount  to  EUR  4 
million.  The  scope,  choice  and  intensity  of  these  communication  actions  will  be  in  line  with  the  2019  External  Communication 
Action Plan of the Directorate General for Agriculture and Rural Development. 

In 2019 the EAGF will also contribute to the Corporate Communication Strategy of the Commission with an amount of EUR  4.3 
million. The EAFRD will also contribute in 2019 to the Corporate Communication Strategy of the Commission with an amount of 
EUR 1.4 million. 

Specific Objective 10: To facilitate decision making on strategic choices for the CAP and to support other activities of the DG by 
means of economic and policy analyses and studies 
Indicator  1: Representativeness  of  information  about  the  EU  farm  economic  situation  collected  by  the  Farm  Accountancy  Data 
Network (FADN) 

Latest known result 

Target 

Baseline 
Farm returns collected for accounting year 
2014: 
83 252 

Farm returns collected for accounting year 2015:  
82 909 

Observed coverage of EU agricultural 
production for accounting year 2014: 

1. 95% coverage of the Standard Output; 
2.  93%  coverage  of  the  Utilised  Agricultural 
Area. 

Observed coverage of EU agricultural production for 
accounting year 2015: 

1. 96% coverage of the Standard Output; 
2. 91% coverage of the Utilised Agricultural Area. 

Indicator 2: Adequate knowledge of Farm's structure 

Baseline 

Latest known result 

Data of Farm Structure Survey 2013 delivered 
by Member States to Eurostat by December 
2014 and made available by Eurostat to users 
as from first quarter 2015. 

Data of Farm Structure Survey 2013 have been published in the 
Eurostat database. The Farm Structure Survey 2016 has been 
carried out by Member States. Data are expected to be made 
available by Eurostat by the end of 2018. 
The legal framework for the 2020 agricultural census is under 
preparation. 

Maximum number of farm returns to be 
collected for accounting year 2016:  
86 775.  

Coverage of EU agricultural production 
for accounting year 2016: 
1. 90% coverage of the Standard Output; 
2.  90%  coverage  of 
Agricultural Area 

the  Utilized 

Target 
All relevant indicators and 
factsheets updated with FSS 
2013 data and published on the 
Europa website. In-depth use of 
FSS 2013 data for analyses on 
farm structural change. 
First use of FSS 2016 
preliminary results for analyses 
of farm structural change towards 
the end of 2018. 

Expenditure related outputs 

Outputs 

Data  collection  on  EU  Farm  Accountancy  Data  Network  (FADN) 
data on farm returns and IT 
Surveys on the structure of agricultural holdings   
Restructuring of systems of agricultural surveys 
Technical assistance 

Total 

Budget line 

05 08 01 

05 08 02 
05 08 03 
05 08 09 

Draft Budget 2019 

Number 

EUR million 

84 680 

14.8 
0.9 
40.0 
2.8 
4.8 
63.3 

Outputs 

Data  collection  on  EU  Farm  Accountancy  Data 
Network (FADN) data: farm returns 
Data  collection  on  structure  of  agricultural  holdings: 
farms surveyed (thousands) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

86 905 

86 905 

86755 

86255 

84 680 

84 680 

1 700303 

10 500 

303   The Farm Structure Survey 2016 will cover roughly 1 700 000 farms. Funding for this survey is spread over the budget years 2015-2018. The agricultural 

census 2020 will cover around 10 500 000 farms, funding will be spread over the budget years 2019-2022. 

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The Farm Accountancy Data Network data are essential tools for the monitoring of agriculture income and business which are used 
for the evaluation and the impact analysis of the agricultural measures. They provide support to the decision-making process related 
to the CAP.  

The  appropriations  requested  for  2019  relate  to  the  Farm  Accountancy  Data  Network  (EUR  15.7  million)  and  are  intended  to 
finance the standard fee for FADN farm returns transmitted by the Member States (84 680 * EUR 175) and the development and 
maintenance  of  the  information  system  used  for  the  collection,  processing,  analysis,  publication  and  dissemination  of  the  farm 
accountancy data and analysis results (EUR 0.86 million). 

Information  from  Farm  Structure  Surveys  is  systematically  used  in  extended  impact  assessments,  evaluation  and  policy 
conception,  particularly  regarding  the  regional  situation  of  specific  sectors.  The  content  of  the  surveys  is  regularly  adapted  to 
answer new needs for agricultural and rural development policy and other policies (in particular regional, social and environmental 
policy). In 2019, grants for the agricultural census 2020 will be fully committed, amounting up to EUR 40 million, while EUR  20 
million of payment appropriations are needed for pre-financing to be paid in 2019. 

Under  05  08  03  the  Draft  Budget  2019  request  includes  an  amount  of  EUR  2.2  million  (commitments)  and  EUR  2.1  million 
(payments)  for  the  MARS  agro-meteorological  system  used  for  monitoring  crops  and  forecasting  yields  of  the  main  crops  in 
Europe  and  its  neighbourhood.  EUR  1.0  million  in  payment  appropriations  is  included  for  the  LUCAS  2018  project for  surveys 
gathering information on land cover, land use and landscapes. In addition, EUR 0.6 million in commitment appropriations and 1.9 
million  in  payment  appropriations  is  destined  for  the  maintenance,  development  and  use  of  modelling  tools  used  by  the 
Commission in its agricultural economic and policy analysis. 

5. Programme contribution to the Sustainable Development Goals 

A summary of the CAP programmes' main contributions to the Sustainable Development Goals is provided in the introductory part 
of the programme statements since these are equally applicable to the EAGF and EAFRD. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme - not applicable. 

7. Programme related additional information - Performance of the Predecessor programme (2007-2013) 

Implementation (2007-2013) 

The pre 2013-reform measures and schemes under the EAGF were in general smoothly implemented without delay. 

The  previous  reforms  of  direct  payments  and  various  agricultural  sectors,  such  as  the  "CAP  Health  Check"  of  2008,  implied  a 
continued  process  of  decoupling  of  support.  The  calculation  and  allocation  of  support  to  farmers  following  the  reforms  were 
challenging implementation tasks in particular for Member States' administrations, for instance by adapting the value of farmer's 
entitlements for direct payments. The tasks were carried out effectively, as is evidenced partly by sound budgetary execution. 

The European Court of Auditors published several special reports covering the responsibilities of the Commission in the areas of 
agriculture and rural development. Among other issues, the Court recommended strengthening monitoring and evaluation  systems 
to reduce the risk of weaknesses and errors and to measure progress towards the achievement of the programmes' objectives. This 
issue has been addressed with the introduction of the strengthened monitoring and evaluation framework for the 2014-2020 period, 
which allows a better tracking of the effectiveness and efficiency of the financed policy interventions.   

Contribution to policy achievements: 

The  CAP's  activity  in  the  period  2007-2013  contributed  essentially  to  viable  food  production,  the  sustainable  management  of 
natural resources (with climate action) and balanced territorial development. In doing so, it helped to achieve not only sustainable 
but also smart and inclusive growth in various ways. 

In the period 2007-2013, part of the EAGF's contribution to sustainable management of natural resources and climate action came 
through  cross-compliance.  More  than  80%  of  total  CAP  payments  were  linked  to  compliance  by  farmers  with  basic  standards 
concerning  the  environment,  food  safety,  animal  and  plant  health  and  animal  welfare.  Furthermore,  by  supporting  farmers,  the 
EAGF enabled from the reduction of potentially harmful intensive practices. Greenhouse gas emissions from the agricultural sector 
(including soils) continued to decline – falling by 10.1% in EU28 between 2000 and 2014, i.e. by an average of 0.8% per year. 

The  EAGF's  contribution  to  viable  food  production  and  to  balanced  territorial  development  also  helped  to  achieve  smart  and 
inclusive  growth.  The  combination  of  direct  payments  (with  an  average  46%  of  farm  income  during  2005-2013)  and  market 
measures helped to limit job and output losses,. This was important for the EU's 11 million farms, their 22 million regular workers 
and for those linked to farming – e.g. 22 million jobs in food processing, food retail and food services, plus others in upstream or 
other  downstream  sectors.  At  the  same  time,  direct  payments  were  largely  decoupled  from  production  and  farmers  were  free  to 
respond to market signals. 

The EU's farm sector raised its total factor productivity by 0.9% per year between 2007 and 2013 (1.8% per year in the EU-13), 
showing clear evidence of using the production factors more efficiently. 

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A  complete  overview  of  the  evaluations  related  to  EAGF  can  be  found  at  https://ec.europa.eu/agriculture/evaluation/market-and-
income-reports_en. The main results are to be flagged:  

  The  evaluation  of  structural  effect  of  direct  payments  (https://ec.europa.eu/agriculture/evaluation/market-and-income-
reports/structural-effects-direct-support-2013_en)  indicated  that  decoupling  of  support  from  production  contributed  to  an 
increase in the number of specialised farms. This is caused by the greater freedom of production decisions brought about by 
decoupling  which  has  stimulated  part  of  the  holdings  to  focus  more  on  production  activities  from  which  market  conditions 
allowed 
payments 
(https://ec.europa.eu/agriculture/evaluation/market-and-income-reports/2011-income_en)  points  to  the  importance  of  direct 
payments in the farm income and to reduce the gap between average farm income and the average income in the economy, yet 
the situation for small farms remained difficult. 

profitability. 

evaluation 

income 

higher 

effect 

direct 

The 

of 

of 

  The  evaluation  of  'Article  68  measures’  according  to  which  MS  could  grant  specific  support  to  address  environmental  and 
animal  welfare  issues  and  improve  the  quality  and  marketing  of  agricultural  products,  as  well  as  to  address  specific 
disadvantages affecting farmers in some sensitive sectors (such as dairy, beef and veal, sheepmeat and goatmeat (MS could use 
up to 10 % of their national ceilings for the single payment scheme for that purpose, as provided for by Article 69) showed that 
Article  68  helped  reduce  disadvantages  in  terms  of  viability  in  a  number  of  sectors  but  had  a  very  limited  effect  on 
competitiveness  and  sustainability  of  primary  production  and  industries.  Concerning  environment,  varied  measures  were 
designed and results were uneven. The most significantly implemented measures were arable crops rotation and diversification, 
with some positive impacts. 

  The  impact  of  the  CAP  on  jobs  has  also  been  demonstrated  in  the  2014  evaluation  of  CAP  measures  to  the  cotton  sector 
(https://ec.europa.eu/agriculture/evaluation/market-and-income-reports/cotton2014_fr).  Single  payment  and  coupled  aid 
contributed  effectively  to  maintaining  family  income  for  farms  specialised  in  cotton  production.  The  aid  represented  an 
essential proportion of producers’ income. Nearly 15 000 jobs (“Full-Time Equivalents”) in the agricultural and more than 1 
100 in the industrial sector were maintained; though these jobs remain heavily dependent on EU aid. 

Generated EU added value:  

During 2007-2013, the CAP achieved greater effectiveness and efficiency, as well as synergies, essentially in the following ways. 

 

It  helped  to  address  a  number  of  challenges  which  if  addressed  at  national  level,  would  have  significantly  overstrained  the 
finances of at least some of the Member States. Continued investments in the rational economic development of farming were 
necessary  –  especially  (though  not  only)  in  those  Member  States  which  had  recently  joined  the  European  Union,  many  of 
which had experienced considerable upheaval in the farm sector since the fall of Communist regimes. Meeting this challenge 
would have been financially impossible for many without EU support. The same is true of environmental challenges (e.g. soil-
related problems) and general socio-economic challenges (investment in the economic and social fabric of rural areas). 

  The CAP addressed some, crossed border challenges as the volatility in the single market for agricultural products – e.g. in the 
case of the e-coli crisis of 2011, whose negative impact on consumer confidence had a strong effect on markets around the EU. 
The measures taken at that moment under the EAGF – involving support provided via producer organisations - helped farmers 
get  through  the  crisis.  Important  cross-border  environmental  challenges  -    such  as  mitigating  climate  change  and  caring  for 
water resources  – were also addressed by the CAP, for instance through the cross-compliance mechanism. 

  Finally, an EU-level CAP was better placed to find synergies with other policies operating partly or wholly at EU level – e.g. 
cohesion  policy.  Although  to  some  extent  co-ordination  between  the  activities  of  such  policies  took  place  at  national  or 
regional  level,  it  was  also  helpful  to  achieve  a  certain  thematic  coordination  at  EU  level:  this  made  it  easier  to  eliminate 
overlaps and gaps. 

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HEADING 2: Sustainable growth: natural resources 

European Agricultural Fund for Rural Development (EAFRD) 
Lead DG: AGRI 
Associated DGs: SRSS 

I. Programme Overview 

What the programme is about? 

The  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  finances  the  EU's  contribution  to  Rural  Development 
Programmes  (RDPs).  The  RDPs  contribute  to  smart,  sustainable  and  inclusive  growth  in  the  EU  by  supporting  farms,  food  and 
forestry sectors and other entities operating in rural areas such as non-agricultural businesses, non-governmental organisations and 
local  authorities.  They  enhance  the  economic  viability  and  sustainability  of  farms  and  rural  businesses  by  fostering  knowledge 
transfer and innovation, investing in green technologies, skills and training as well as promoting entrepreneurship and networking. 
The RDPs also help farmers develop their businesses in a sustainable manner by supporting the preservation of natural resources, 
promoting environmentally sustainable land management, enhancing ecosystems and maintaining landscapes attractive for tourism. 

The EAFRD is also an important tool to mitigate climate change and support the shift towards a low carbon and a climate resilient 
economy, by helping farmers and rural businesses to reduce greenhouse gas and ammonia emissions and adapt to climate change 
consequences. It also supports farmers in managing renewable resources and waste, thus making a direct contribution to the Energy 
Union.  

The EAFRD contributes to job creation and income diversification and provides the potential to integrate migrants. It also makes an 
important contribution to the Digital Single Market by supporting broadband infrastructure and various ICT solutions in rural areas. 
This  has  a  positive  effect  on  the  quality  of  life  of  EU  citizens.  Moreover,  support  for  interactive  innovation  projects  under  the 
European  Innovation  Partnership  for  Agriculture  (EIP)  helps  contribute  towards  the  Europe  2020  objectives  by  encouraging 
innovation and entrepreneurship, promoting inclusiveness and increasing the impact of EU-funded research on the economy. 

EU added value of the programme 

Under  the  second  pillar  of  the  CAP,  rural  development  programmes  make  a  vital  contribution  to  the  economic,  social  and 
environmental performance of EU in rural areas. 

Rural development programmes are designed to deliver towards six common EU priorities while taking into account national and 
regional  specificities.  This  ensures  a  consistent,  coherent  and  result-oriented  approach  to  a  number  of  cross-border  issues: 
biodiversity,  water,  climate  change,  European  growth  and  jobs,  poverty  reduction  and  open  innovation.  The  EAFRD  works  as  a 
catalyst, delivering results also in areas related to other EU policies such as environment, climate, food safety, health, research and 
innovation, Digital Single Market and Energy Union.  

It invests in the development of rural businesses and holdings, improving competitiveness whilst ensuring sustainable management 
of natural resources. Support for interactive innovation projects under the European Innovation Partnership for Agriculture (EIP) as 
well  as  support  for  training  and  diversification  aims  to  deliver  on  the  Europe  2020 objectives  as  they  encourage  innovation  and 
entrepreneurship, promote inclusiveness and increase the impact of EU funded research projects in the real economy. The EAFRD 
performance and results are enhanced by the European Network for Rural Development which allows for exchange of experience 
and best practices amongst national and regional authorities. 

II. Programme Update 

All  118  rural  development  programmes  (RDP)  are  up  and  running  and  currently  being  implemented.  In  2017,  Member  States 
presented 172 proposals for programme amendments of different nature. Calls for application by beneficiaries have been published 
at  the  level  of  Member  States  and  regions.  By  31  August  2017,  around  EUR  64  billion  has  been  committed  to  projects  and 
beneficiaries. This represents 42.7% of the total EAFRD allocation for 2014-2020.  

By 1 August 2017 Member States had an opportunity to review their decisions on the flexibility between the CAP pillars. France, 
Lithuania and the Netherlands decided to use this review option by moving in total EUR 736 million from direct payments to rural 
development, which results in an increase in commitments of EUR 360 million and EUR 376 million for financial years 2019 and 
2020 respectively.  

As regards payments from the EU budget to Member States,  the requests received by end 2017 amounted to a total of EUR 21.2 
billion, which is 21% of the total commitments for the period 2014-2020, which in terms of implementation places the EAFRD far 
in  advance  of  all  the  ESI  funds,  which  EAFRD  is  a  part  of.  In  fact  in  2017  EAFRD  reimbursed  EUR  11.1  billion  in  interim 
payments.  

Implementation Status (2014-2017) 

In 2017, the Member States submitted their second Annual Implementation Reports (AIRs) on the implementation of the ESI Funds 
covering implementation until 31 December 2016. Despite the late adoption of certain programmes, mainly due to the late adoption 

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of the legislative framework, the implementation is on cruising speed. In fact, for the EAFRD, a smooth transition from the 2007-
2013  to  the  current  programming  period  was  ensured  through  the  establishment  of  transitional  rules,  the  presence  of  already 
established  paying  agencies  (i.e.  no  need  for  new  designation  of  authorities)  and  the  wide  use  of  multi-annual  commitments, 
including area-based payments.  

As part of the ESI funds, the EAFRD is also under the scope of the activities of the High Level Group on simplification, grouping 
together senior experts on structural funds to discuss simplification possibilities for the implementation of Funds. 

Key achievements  

In terms of results achieved to date, it has to be noted that most of the programmes were approved in 2015 (only 9 RDPs out of 118 
were approved in 2014). Therefore the results and outputs achieved by the end  of 2016 (latest figures available) are not yet fully 
representative of what is expected from the implementation. Certain acceleration in programme implementation is already visible, 
but more is expected in the coming years, in particular regarding investments and job creation operations. The latest are operations 
that normally take more time to be completed.  Experience shows that related achievements start materialising by the end of the 
programming period. Some positive results can already be pointed out, with figures close to 60% achieved of the 2020 targets in 
terms of agricultural land under management contracts contributing to biodiversity, soil and water management, and 89% achieved 
of the final target for rural population covered by local development strategies. 

As regards ex-ante conditionalities applying to EAFRD, a number of them were  subject to the implementation of specific action 
plans in view of reaching full compliance by the end of the year 2016. All of the actions plans except one have successfully being 
implemented and the conditionalities can therefore be considered as fulfilled.  

For  the  2014-2020  rural  development  programming  period,  a  number  of  initiatives  have  been  launched  which  are  expected  to 
improve efficiency and effectiveness of EAFRD expenditure:  

• 

• 

• 

• 

• 

To  facilitate  the  implementation  of  the  EU  funds,  the  EAFRD  Implementing  Act  was  already  modified  in  April  2016.  In 
addition,  the  EAFRD  basic  act  was  modified  in  2017  through  the  so-called  Omnibus  Regulation304,  amongst  others  to 
improve  risk  management  tools  for  farmers,  reduce  administrative  burden  for  beneficiaries  and  simplify  conditions  for 
financial instruments. Finally, the Implementing Act on administration and control systems (Regulation (EU) No 809/2014) 
was also modified in July 2017 to simplify control rules for non-area related measures. 

Simplified Cost Options (SCOs) are being increasingly used by Member States and regions in order to improve the efficiency 
and effectiveness of the EAFRD expenditure and to reduce the administrative burden. Currently 64% of the RDPs are using at 
least one type of SCOs. As an example, flat rates are used to cover indirect cost, unit cost for training activities or investments 
and lump sums for cooperation actions. MS and regions are introducing more SCOs in the context of RDPs amendments and 
this trend is expected to continue. 

Financial instruments (FI) are the key tool for leveraging and revolving the rural development budget. EAFRD is well on track 
to meet the target of doubling the use of FI as compared to 2007-2013. In 2017 already four FI were operational (Estonia, and 
one region in each Germany, France and Italy). The  signed funding agreements between EAFRD  managing authorities and 
fund managers, including the EIF, were 13. By end 2017, FI are fully programmed in 27 RDPs in eight MS with a total public 
budget of EUR 669 million (EAFRD EUR 465 million, national co-financing EUR 204 million). In total 16 cases of targeted 
coaching  on  financial  instruments  for  EAFRD  managing  authorities'  were  launched  in  2017  and  12  of  them  finalised.  The 
Commission  and  the  EIB  identified  and  developed  the  FI  schemes  that  can  be  used  by  farmers,  foresters  and  related  rural 
businesses, including through a combination between FIs and grants and EAFRD FIs and EFSI.  
As regards selection criteria, the ranking of the applications and the prioritization of funding against the objectives established 
in the rural development programme, the Member States successfully defined them for all relevant measures. 

An  increased  awareness  of  implementation  feasibility  of  certain  measures  and  their  impact  on  errors  is  guaranteed  by  the 
Member  States'  ex-ante  assessment  of  the  measures,  aiming  to  ensure  they  are  verifiable  and  controllable  and  taking  into 
account the results of controls in the previous programming period.  

Evaluations/studies conducted  

A  study  on  the  risk  management  tool-kit  in  EU  agriculture  is  finalised  and  will  be  published  soon.  Based  on  a  comprehensive 
description and analysis of different risks for EU agriculture the study generally confirms the heterogeneous distribution of risks 
among  EU  Member  States  whose  risk  profile  depends  on  the  structure  of  their  agricultural  production  and  the  risk  associated 
thereto. Looking at different risk management tools for EU agriculture (i.e. insurances, mutual funds, forward contracts and futures) 
the study finds that overall availability and uptake of these tools in the EU are not very developed with differences among tools, 
sectors  and  countries  (e.g.  insurance  being  the  most  commonly  used  tool,  in  particular  crop  climate  insurance).  Concerning 
underlying reasons, the study points towards a series of different obstacles both on the administrative and on the farm level, which 
e.g. in the case of CAP-supported schemes (for which a specific analysis is provided) include limits in terms of scheme design (e.g. 
WTO threshold), of administrative experience in the set-up and implementation of these schemes (e.g. definition of income) and of 
awareness  or  capacity  of  the  farming  community  (e.g.  lack  of  cooperation).  The  study  clearly  underlines  the  need  to  strengthen 
relevant  skills  and  capacities  (both  at  the  administrative  and  the  farm  level)  and  puts  forward  several  recommendations  in  this 

304   Regulation (EU) 2017/2393, OJ L 350 p.15 

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regard,  including  the  creation  of  a  database  to  share  information  related  to  risk  management  in  agriculture,  to  further  support 
research  (both  to  overcome  technical  issues  and  to  learn  more  about  results,  performance  and  impacts  of  risk  management 
strategies) and to promote risk management pilot actions.  
An evaluation of forestry measures under the rural development has just been finalised and published305. Preliminary results show 
that  the  EAFRD  provide  a  coherent  set  of  measures  capable  of  covering  the  needs  of  the  forest  sector  and  fostering  sustainable 
forest management in rural areas. The flexibility of the Rural Development Programmes enables the Managing Authorities to adapt 
the  measures  to  local  needs  and  peculiarities,  and  to  provide  highly  targeted  support.  However,  the  effectiveness  of  the  forest 
measures  remains  highly  dependent  on  the  detail  of  the  measure  design  at  RDP  level,  and  where,  when  and  for  how  long  it  is 
implemented by the beneficiaries. The forest measures are highly relevant to addressing EU priorities for rural development but it is 
not clear that the available budgets will cover all future needs, particularly in terms of carbon and biodiversity, plus wood and other 
forest products normally supplied by the market. The evaluation also concludes that although there is room for improvement, it is 
clear that the  Rural Development Funds for the  forest  measures  have been important in supporting beneficial actions that  would 
either not have been funded to the same extent or not implemented at all, in the absence of RDP support 

The  synthesis  of  RD  ex-post  evaluations  2007-2013  is  expected  to  be  finalised  by  June  2018  The  evaluation  will  be  built  upon 
evaluations carried out by the Member States. The first part of this exercise is already completed, namely to make a summary of the 
Member  States  evaluations  (as  required  by  the  legal  basis)  Preliminary  findings  show  a  positive  contribution  of  the  rural 
development programmes in the domain of competitiveness and environment, and a more limited contribution regarding  improving 
the  quality  of  life,  building  local  capacity  and  employment  generation.  The  second  parts  is  ongoing  and  will  focus  on  the 
effectiveness, efficiency, coherence, relevance and EU added value of the 2007-2013 Rural Development Programmes.  

Finally,  a  pilot  project  initiated  by  the  European  Parliament  on  smart  and  eco-social  villages  is  currently  under  progress  and 
expected to be completed in mid-2019.  

Besides the  above EAFRD specific evaluations and studies, a number of evaluations  will assess the impact of both EAFRD and 
EAGF  in  areas  such  as  viable  food  production  and  climate  change  and  greenhouse  gas  emissions.  These  will  feed  into  the 
Commission report to the European Parliament and the Council on the first results of the performance of the CAP, to be submitted 
by 31 December 2018. Also an evaluation of the instruments applicable to State aid in the agricultural and forestry sectors and in 
rural areas has been launched in 2017 covering both funds. 

As part of ESI  funds, the EAFRD is involved and financially contributing to a number  of currently on-going studies  concerning 
those  funds,  notably  in  the  fields  of  a)  simplification,  b)  coordination  and  harmonisation  of  Funds,  and  c)  possible  alternative 
delivery modes. Preliminary findings  of the simplification study shows higher administrative burden and administrative costs for 
the  EAFRD  compared  with  other  ESI  Funds,  with  the  tasks  associated  with  controls  (performing  administrative  and  on  the  spot 
controls,  setting-up  and  management  of  the  control  system)  the  most  burdensome.  Regarding  the  study  on  coordination  and 
harmonisation, preliminary conclusions point out to the difficulties created by different rules between ESI Funds in particular for 
large and complex projects. In addition, although overlaps between funds do not mean inconsistent fund delivery or contradiction 
of policy objectives, they could result in suboptimal allocation of resources. The 3rd study on delivery mechanisms is less advanced, 
although  the  first  analysis  regarding  lessons  learnt  has  been  concluded.  It  shows  that  the  current  ESIF  system  is  very  strong 
regarding  accountability,  legality  and  regularity,  and,  to  a  lesser  extent,  governance  and  financial  management.  The  system  is 
considered nevertheless too complex and with room for simplification.  

In 2017, the European Court of Auditors issued the following 2 special reports related to rural development:  

Special Report No 10/2017: EU support to young farmers should be better targeted to foster effective generational renewal - 
With  regard  to  rural  development,  the  Court  pointed  out  the  aid  is  generally  based  on  a  vague  needs  assessment  and  reflects 
partially  the  general  objective  of  encouraging  generational  renewal.  The  aid  addresses  more  directly  young  farmers’  needs  for 
access to land, capital and knowledge, compared with aid granted under EAGF. The amount of aid is generally linked to needs and 
modulated as an incentive for specific actions (e.g. introducing organic farming, water- or energy-saving initiatives). Business plans 
are useful tools but were of variable quality across the Member States audited. Managing authorities did not always apply selection 
procedures  that  lent  themselves  to  prioritizing  the  best  projects.  Although  the  Commission  in  its  advisory  capacity  has 
recommended setting ambitious selection criteria, Managing Authorities are the final responsible for defining and applying them.  

Special  Report  No  16/2017:  Rural  Development  Programming:  less  complexity  and  more  focus  on  results  needed  –  The 
Court  found  that  even  though  the  framework  aimed  at  a  results‐ based  approach,  the  approved  programmes  were  long  and 
complex,  with  shortcomings  that  would  hinder  the  focus  on  performance  and  results.  The  Court  also  concluded  that  despite  the 
efforts  made,  the  implementation  of  the  RDPs  did  not  start  earlier  than  in  the  previous  period.  The  new  CAP  delivery  model 
announced in the Commission Communication “The Future of Food and Farming” will address these concerns. Future CAP plans 
will  be  streamlined,  more  strategic,  and  result  oriented.  Although  the  design  and  suitability  of  interventions  will  have  to  be 
explained, the level of detail, as known from current Rural Development Programmes is likely to be significantly reduced. 

Forthcoming implementation (2018-2019)  

As  a  result  of  the  implementation  of  rural  development  programmes  the  following  targets,  amongst  others,  are  expected  to  be 
achieved  at  the  level  of  the  Union  at  the  end  of  the  programming  period:  31  million  hectares  of  agricultural  land  concerned  by 

305 https://ec.europa.eu/agriculture/sites/agriculture/files/forest/publications/pdf/eval-study-forestry-measures-report_en.pdf 

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investment  targeting  biodiversity;  53%  of  the  total  rural  population  (153  million  inhabitants)  living  in  areas  for  which  local 
development  strategies  are  implemented  by  selected  LEADER  Local  Action  Groups  (LAGs);  investments  in  improved  energy 
efficiency for over 17 000 farms; support for 177 700 young farmers to set up their businesses and for more than 331 300 farmers 
to  modernise  and  improve  their  production  facilities.  As  for  the  rural  business  outside  the  farms  gate,  some  61  000  rural 
entrepreneurs are to receive support to develop their businesses.  

It  is  expected  that  in  2018  the  implementation  of  the  RDPs  will  be  at  cruising  speed.  In  terms  of  expected  achievements,  the 
numerous targets are linked to EAFRD 2014-2020 expenditure. The first effects on the simplification actions adopted through the 
Omnibus  Regulation,  namely  regarding  the  use  of  simplified  costs  options  and  financial  instruments  as  well  as  support  for  risk 
management could already be noticed in 2018. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation  (EU)  No  1303/2013  of  the  European Parliament  and  of  the  Council of  17  December  2013 
laying  down  common  provisions  on  the  European  Regional  Development  Fund,  the  European  Social 
Fund,  the  Cohesion  Fund,  the  European  Agricultural  Fund  for  Rural  Development  and  the  European 
Maritime and Fisheries Fund and laying down general provisions on the European Regional Development 
Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and 
repealing Council Regulation (EC) No 1083/2006    
Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on 
support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and 
repealing Council Regulation (EC) No 1698/2005   
Regulation (EU) No 1306/2013 of the European Parliament and of the Council of 17 December 2013 on 
the  financing,  management  and  monitoring  of  the  common  agricultural  policy  and  repealing  Council 
Regulations  (EEC)  No  352/78,  (EC)  No  165/94,  (EC)  No  2799/98,  (EC)  No  814/2000,  (EC)  No 
1290/2005 and (EC) No 485/2008   
Regulation  (EU)  No  1310/2013  of  the  European Parliament  and  of  the  Council of  17  December  2013 
laying  down  certain  transitional  provisions  on  support  for  rural  development  by  the  European 
Agricultural  Fund  for  Rural  Development  (EAFRD),  amending  Regulation  (EU)  No  1305/2013  of  the 
European Parliament and of the Council as regards resources and their distribution in respect of the year 
2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No 1307/2013, (EU) No 
1306/2013  and  (EU)  No  1308/2013  of  the  European  Parliament  and  of  the  Council  as  regards  their 
application in the year 2014 

2014 - 2020 

100 079.1 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Total 
Programme 
100 272,3 

Total 
Of  which  contribution  to  European 
Solidarity Corps 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

5 285,0(*) 

14 381,0 

14 709,0 

18 169,8 

18 676,3 

14 364,0 

14 687,3 

0,0 

1,8 

1,8 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

14 364,016 

99,97 % 

10 967,313 

99,96 % 

14 379,214 

99,86 % 

11 850,876 

37,52 % 

Authorised appropriations (*) 

14 378,124 

99,87 % 

11 092,483 

99,80 % 

14 393,319 

99,76 % 

11 871,155 

37,62 % 

(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
Smart growth: 3.06% of 05 04 60 01  Sustainable growth: 78.68% of 05 04 60 01 

 Inclusive growth: 18.14% of 05 04 60 01 

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Priority 

Smart Growth (innovation, education, digital society) 
Sustainable Growth (competitiveness, climate, energy and mobility) 
Inclusive Growth (employment and skills, fighting poverty) 
Total 

Contribution to mainstreaming of climate action 

Relevant objective/output306 

1. Restoring, preserving and enhancing ecosystems dependent on agriculture and Forestry 

2. Promoting resource efficiency and supporting the shift towards a low carbon and climate resilient 
economy in agriculture, food and forestry sectors 

Budget 2018 
(EUR million) 
439,0 
11 288,1 
2 602,5 
14 329,6 

DB 2019 
(EUR million) 
448,5 
11 531,2 
2 658,7 
14 638,4 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

8 239 

8 210   

Calculation based on the value of commitments respectively for Budget 2018  and DB 2019 indicative annual allocation to focus 
areas based on all 118 adopted rural development programmes. 

In  its  Special  Report  nr  31/2016  the  Court  of  Auditors  flagged  that  the  climate  relevant  share  of  agriculture  spending  could  be 
overestimated. The Commission considers that its estimates of the overall climate contribution of both CAP funds are based on an 
EU wide agreed methodology. The method used by the Commission is sound, it has been prepared in a transparent and coordinated 
manner; it is based on Rio markers and it was communicated to the European Parliament and the Council. The Commission takes 
note of the Court's simulations using different methodologies and general principles agreed by international aid organisations, but 
reiterates  its  commitment  to  the  EU  approach.  The  Commission  does  not  consider  a  set  of  principles  developed  by  a  group  of 
international aid organisations in 2015 for mitigation tracking of their operations to be a relevant point of reference for the approach 
agreed at EU level. The Commission underlines that the Court's calculations used in the report differ from the ones agreed at EU 
level which are sufficiently conservative.The tracking methodology for EAFRD is a reasonably reliable estimate for climate related 
expenditure and minimizes administrative burden. It currently represents 57.5% of EAFRD expenditure. Attributing a Rio marker 
of 100% to measures  which  enhance ecosystems  strengthens their resilience/capacity  to adapt to climate  change and is therefore 
justified. The tracking methodology has to remain stable during the current MFF but could be fine-tuned post-2020. 

2014 – 2017  

2014 
3 023 

2018-2019 estimates 
2019 
2018 
8 210 
8 239 
Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

2020 programming 
2020 
8 211 

Total 
2014-2020 
57 047 

2016 
10 709 

2015 
10 422 

2017 
8 233 

Contribution to financing biodiversity 

Relevant objective/output307 

1. Restoring, preserving and enhancing ecosystems dependent on agriculture and forestry 

2.  Promoting  resource  efficiency  and  supporting  the  shift  towards  a  low  carbon  and  climate 
resilient economy in agriculture, food and forestry sectors 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

4 266 

4 250  

2014 – 2017 

2014 
1 565 

2015 
5 396 

2016 
5 545 

2017 
4 263 

2018 – 2019 estimates 

2018 
4 266 

2019 
4 250 

2020 
programming 
2020 
4 251 

Total 
2014-2020 

29 536 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Gender mainstreaming 
Rural development policy contributes to gender equality as the gender perspective is considered during the preparation and 
implementation of the RDPs. Moreover, all rural development measures have the potential to contribute to gender equality to a 

306  In  accordance  with  Annex  II  to  Regulation  (EU)  No  215/2014  of  7  March  2014  laying  down  rules  for  implementing  Regulation  (EU)  No  1303/2013  of  the 
European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion 
Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European 
Regional  Development  Fund,  the  European  Social  Fund,  the  Cohesion  Fund  and  the  European  Maritime  and  Fisheries  Fund  with  regard  to  methodologies  for 
climate  change  support,  the  determination  of  milestones  and  targets  in  the  performance  framework  and  the  nomenclature  of  categories  of  intervention  for  the 
European Structural and Investment Funds.  
307  Starting from Draft Budget 2016, the methodology for the calculation of the contribution to biodiversity is the following: 100% of the annual commitments in 
the Priority Area 4 with exception of the amounts for the areas  facing natural constraints plus 40% of the annual commitments in the focus area 5E. Calculation 
based  on  the  value  of  commitment  respectively  for  Budget  2018  and  Draft  Budget  2019  and  indicative  annual  allocation  to  focus  areas  based  on  118  rural 
development programmes. This calculation does not take into account the impact of the review of flexibility decisions of the Member States. 

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various extent, e.g. by providing support to improve skills, facilitate business development, access to broadband, basic services in 
rural areas, etc. Besides that, contribution to gender equality is specifically sought in the rural development policy through:  

 
 
 

the possibility to submit thematic sub-programmes for women in rural areas,  
the possibility to target rural development support to women through the application of selection criteria and,  
the obligation to respect an ex ante conditionality on gender equality. 

It is not possible to know the actual budgetary contribution to gender issues because this would require an in-depth analysis of the 
implementation of the RDPs. With the information available in the RDPs, it would only be possible to know the budget allocated to 
thematic sub-programmes on women in rural areas, but so far none of the RDPs has made use of this possibility.  

4. Performance information 

Specific objectives 

Introduction to specific objectives 
For  the  2014-2000  rural  development  programmes,  for  each  of  the  specific  objectives,  the  Commission  has  defined  result-type 
"Target  Indicators"  in  the  rural  development  (RD)  Common  Monitoring  and  Evaluation  System  (CMES),.  At  least  one  target 
indicator is available for each of the 18 RD focus areas308. The application of each of these indicators is mandatory for all the rural 
development programmes including the corresponding focus area. For each indicator target levels are established ex-ante for year 
2023 and actual achievements will be assessed regularly during the implementation period. It is therefore possible to aggregate at 
the level of the Union both their planned levels for the year 2023 and, through regular monitoring and reporting, their actual levels 
of  achievement  year  by  year.  Therefore,  these  CMES  Target  Indicators  represent  an  optimal  way  to  monitor  and  report  on  the 
performance of the policy.  

However, the RD CMES does not prescribe the Member States to define milestones at the year 2018 in relation to target indicators, 
while  such  milestones  are  requested  to  be  made  available  in  relation  to  a  number  of  output-type  indicators  to  be  included  in  a 
Performance Framework (PF). Member States are recommended to make use of common indicators for the purpose of establishing 
the  PF,  this  choice  is  not  mandatory.  Therefore,  the  aggregation  of  these  indicators  at  the  level  of  the  Union  is  not  fully 
representative. 

In  the  following  tables,  milestones  for  the  year  2018  are  estimated  and  presented  only  in  relation  to  those  target  indicators  for 
which,  due  to  their  specific  nature,  a  specific  correspondence  could  be  established  with  respect  to  relevant  PF  indicators.  The 
baseline  is  0  at  the  start  of  the  programming  period.  The  information  concerning  the  latest  known  results  reflecting  2016 
implementation became available to the Commission as of the second annual implementation reports submitted by 30 June 2017. 
For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for 
the operational outputs are set for 2023.   The low values reached by the reported indicators are mainly due to the fact that those 
indicators  refer  to  the  situation  at  the  end  of  2016.  In  fact,  the  majority  of  the  programmes  were  approved  during  2015. 
Furthermore,  the  first  months  after  approval  are  mainly  devoted  by  the  Managing  Authorities  to  put  in  place  management  and 
working  structures.  Some  measures  require  preparatory  actions  and  therefore  some  time  before  the  starting  of  their  actual 
implementation on the ground, for example due to the application of public procurement procedures. 

Specific Objective 1: Fostering knowledge transfer and innovation in agriculture forestry and rural areas (Priority 1) 
Indicator 1: % of expenditure for the three measures Knowledge transfer & information action, advisory services and cooperation 
in relation to the total expenditure for the RDP (Focus area 1A: Fostering innovation and the knowledge base in rural areas) 

Baseline 2013 

2014/2015 

2016 

0 

0% 

0,1%309 

2017 

Milestones foreseen 
2018 
Not applicable* 

Actual results 

2019 

2020 

Target 2023 

3.9% 

109 programmes include this Focus Area and are concerned by this quantified target 
Indicator 2: Number of cooperation operations planned under the cooperation measure (groups, networks/clusters, pilot projects) 
(Focus area 1B: strengthening the links between agriculture and forestry and research and innovation) 

Baseline 2013 

0  

2014/2015 

2016 

2017 

2018 
Not applicable* 

2019 

2020 

Milestones foreseen 

105 

804 

Actual results 

Target 2023 

15 235 

108 programmes include this Focus Area and are concerned by this quantified target 

308   The 6 rural development specific objectives (priorities) are further broken down into 18 strategic Focus Areas. 
309   The  three  measures  under  the  scope  of  this  indicator  have  reached  non-significant  level  of  expenditure  at  the  end  of  the  year  2016  due  to  the  fact  that  the 
majority  of  the  programmes  were  approved  during  the  year  2015,  that  the  first  year  of  implementation  is  mainly  devoted  to  put  in  place  management  and 
working structures, as well as to the fact that they generally implemented through the application of public procurement procedures. The latter imply a relatively 
long period between the starting of the procedures and the first payments to selected beneficiaries. 

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Indicator 3: Total number of participants trained (Focus area 1C: fostering lifelong learning and vocational training in agriculture 
and forestry sectors) 

Baseline 2013 

2014/2015 

2016 

0  

12 333 

258 108 

2017 

Milestones foreseen 
2018 
Not applicable* 

Actual results 

2019 

2020 

Target 2023 

3 826 119 

99 programmes include this Focus Area and are concerned by this quantified target 
* For the Specific Objective 1 the indicators as set in the rural development common monitoring and evaluation system are identified and presented with targets for 
2023. The common performance framework does not apply to Specific Objective 1, because no EAFRD budget is allocated to that cross cutting Priority. Therefore 
no information on the milestones is collected from the Member States. Nevertheless, as in case of the remaining specific objectives, the Commission will be able to 
collect and present the real outputs for these indicators in the future.  

Expenditure related outputs 

Outputs 

Budget 
line 

Number of beneficiaries supported to benefit from the use of advisory services 

N/A 

Draft Budget 2019 

Number 
Target 2023: 

1 385 567310 

EUR million 
No EAFRD financing is allocated 
to cross-cutting Priority 1 

Outputs 

Number  of  beneficiaries  supported  to  benefit 
from the use of advisory services 

F 
P 

2014 
NA 

10 700 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2018 
NA 

2015 
NA 

2019 
NA 

2016 
NA 
31 700 

2020 
NA 

For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for 
the operational outputs are set for 2023. 
Specific  Objective  2: Enhancing  farm  viability  and  competitiveness  of  all  types  of  agriculture  in  all  regions  and  promoting 
innovative farm technologies and sustainable management of forests (Priority 2) 
Indicator  1: %  of  agricultural  holdings  with  RDP  support  for  investment  in  restructuring  (Focus  area  2A:  facilitating  the 
restructuring of farms facing major structural problems, notably farms with a low degree of market participation, market-oriented 
farms in particular sectors and farms in need of agricultural diversification) 

Baseline 2013 

0  

2014/2015 

2016 

2017 

Milestones foreseen 
2018 
23% of the target for 2023* 

Actual results 

2019 

2020 

Target 2023 

2.7% 

109 programmes include this Focus Area and are concerned by this quantified target 

0.1% 

0.6% 

Indicator  2: %  of  agricultural  holdings  with  RDP  supported  business  development  plan  for  young  farmers  (Focus  area  2B: 
facilitating generational renewal in the agricultural sector) 

Baseline 2013 

0  

2014/2015 

2016 

2017 

0.06% 

0.06% 

Milestones foreseen 
2018 
23% of the target for 2023* 

Actual results 

2019 

2020 

Target 2023 

1.5% 

93 programmes include this Focus Area and are concerned by this quantified target 
*The indicative milestone, which represents an average for both Target Indicators, is based on the application of Performance Framework proxy indicator: number 
of agriculture holdings with RDP support for investment in restructuring or modernisation and number of agricultural holdings with RDP supported business 
development plan/investment for young farmers. This non-mandatory indicator concerns106 RDPs. 

Expenditure related outputs 

Outputs 

Agricultural holdings with RDP support for investments in restructuring or modernisation 
Agricultural holdings with RDP supported business development plan/investments for young 
farmers 

Budget line 

05 04 60 01 

Draft Budget 2019 

Number 
Target 2023: 327 540 

Target 2023: 177 954 

EUR million 

2 902 

Outputs 

Agricultural holdings with RDP support for 
investments in restructuring or modernisation 
agricultural holdings with RDP supported 
business development plan/investments for 
young farmers 

F 
P 
F 

P 

2014 
NA 

14 900 

NA 

NA 

2016 
NA 
28 500 
NA 

6 500 

5 600 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2018 
NA 

2015 
NA 

2019 
NA 

2020 
NA 

NA 

NA 

NA 

NA 

310   Target level has been updated to reflect relevant changes introduced by programmes modifications 

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For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for the 
operational outputs are set for 2023. 

Specific  Objective  3: Promoting  food  chain  organisation,  including  processing  and  marketing  of  agricultural  products,  animal 
welfare and risk management in agriculture (Priority 3) 
Indicator  1: %  of  agricultural  holdings  supported  under  quality  schemes,  local  markets  and  short  supply  circuits,  and  producer 
groups  (Focus  area  3A:  better  integrating  primary  producers  into  the  food  chain  through  quality  schemes,  promotion  in  local 
markets and short supply circuits, producer groups and inter-branch organisations) 

Baseline 2013 

0  

2014/2015 

2016 

2017 

0.01% 

0.2% 

Milestones foreseen 
2018 
34% of the target for 2023* 
Actual results 

2019 

2020 

Target 2023 

2.5% 

85 programmes include this Focus Area and are concerned by this quantified target 
* The indicative milestone is based on the application of Performance Framework proxy indicator: number of agricultural holdings supported under quality schemes, 
local markets/short supply circuits, and producer groups. This non-mandatory indicator concerns 59 RDPs. 

Indicator  2: %  of  agricultural  holdings  participating  in  risk  management  schemes  (Focus  area  3B:  supporting  farm  risk 
management) 

Baseline 

0  

2014/2015 

2016 

2017 

0.04% 

0.5% 

Milestones foreseen 

2018 
90% of the target for 2023* 

Actual results 

2019 

2020 

Target 2023 

5.3% 

39 programmes include this Focus Area and are concerned by this quantified target 
* The indicative milestone is based on the application of Performance Framework proxy indicator: number of agricultural holdings participating in risk management 
schemes. This non-mandatory indicator concerns 28 RDPs. 
Expenditure related outputs 

Outputs 

Agricultural holdings receiving support for participating in quality schemes, local 
markets and short supply circuits, and producer groups/organisations 
Agricultural holdings participating in risk management schemes 

Budget line 

05 60 04 01 

Target 2023: 255 735 

Target 2023: 603 359 

Draft Budget 2019 

Number 

EUR million 

Outputs 

2014 
NA 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2016 
NA 

2018 
NA 

2015 
NA 

2019 
NA 

F 

Agricultural holdings receiving support for 
participating in quality schemes, local markets 
and short supply circuits, and producer 
groups/organisations 
Agricultural holdings participating in risk 
management schemes 
For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation.  

NA 
58 423 

1 000 

3 466 

4 600 

F 
P 

NA 

NA 

NA 

NA 

P 

NA 

NA 

1 385 

2020 
NA 

Specific Objective 4: Restoring, preserving and enhancing ecosystems related to agriculture and forestry (Priority 4) 
Indicator 1: a) % of agricultural land under management contracts contributing to biodiversity b) Percentage of forest area under 
management contracts contributing to biodiversity (Focus area 4A: Restoring and preserving biodiversity, including Natura 2000 
area and high nature value farming, and the state of European landscapes) 

Baseline 2013 

2014/2015 

2016 

2017 

a) 0 

b) 0 

6.3% 

13.0% 

0.2% 

0.2% 

Milestones foreseen 

2018 
70% of the target for 2023* 

Actual results 

Not applicable** 

Actual results 

2019 

2020 

Target 2023 

17.7% 

2.2% 

a) Out of the 111 programmes which include this Priority, 109 are relevant for this sub-indicator 
b) Out of the 111 programmes which include this Priority, 76 are relevant for this sub-indicator 
Indicator 2: a) % of agricultural land under management contracts improving water management b) percentage of forest area under 
management contracts improving water management (Focus area 4B: improving water management) 

Baseline 2013 

a) 0 

2014/2015 

2016 

2017 

5% 

8.8% 

Milestones foreseen 

2018 
70% of the target for 2023* 

Actual results 

2019 

2020 

Target 2023 

15.1% 

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b) 0 

0.4% 

0.8% 

Not applicable** 

Actual results 

0.8% 

a) Out of the 111 programmes which include this Priority, 108 are relevant for this sub-indicator 
b) Out of the 111 programmes which include this Priority, 39 are relevant for this sub-indicator 

Indicator  3: a)  %  of  agricultural  land  under  management  contracts  preventing  soil  erosion  and  improving  soil  management  b) 
Percentage  of  forest  area  under  management  contracts  preventing  soil  erosion  and  improving  soil  management  (Focus  area  4C: 
improving soil management) 

Baseline 2013 

2014/2015 

2016 

2017 

a) 0 

b) 0 

5.1% 

9.0% 

0.2% 

0.1% 

Milestones foreseen 
2018 
70% of the target for 2023* 

Actual results 

Not applicable** 

Actual results 

2019 

2020 

Target 2023 

14.5% 

1.3% 

a) Out of the 111 programmes which include this Priority, 108 are relevant for this sub-indicator 
b) Out of the 111 programmes which include this Priority, 56 are relevant for this sub-indicator 
*The indicative milestone, which represents an average for the three Target Indicators,  is based on the application of Performance Framework proxy indicator: 
Agricultural land under management contracts contributing to biodiversity (ha) + Agricultural land under management contracts improving water management (ha)+ 
Agricultural land under management contracts improving soil management and/preventing soil erosion (ha). This non-mandatory indicator concerns 94 RDPs. 
**No milestones are available because there is no equivalent common Performance Framework Indicators in the RD Performance Framework. 

Expenditure related outputs 

Outputs 

Budget line 

Million hectares of agricultural land under management contracts supporting biodiversity 
Million hectares of agricultural land under management contracts to improve water management 
Million hectares of agricultural land under management contracts to improve soil management 
and/or prevent soil erosion 
Million  hectares  of  forest  or  other  wooded  areas  under  management  contracts  supporting 
biodiversity 

Draft Budget 2019 

Number 
Target 2023: 31.1 
Target 2023: 26.5 

EUR million 

05 04 60 01 

Target 2023: 25.2 

6 310 

Target 2023: 4.0 

Outputs 

2014 
NA 

Number of outputs foreseen (F) and produced (P) 
2019 
NA 

2017 
NA 

2018 
NA 

2015 
NA 

11.1 

hectares 

hectares 

hectares 

agricultural 

agricultural 

land  under 

land  under 

Million 
of 
management contracts supporting biodiversity 
Million 
of 
management contracts to improve water management 
Million 
land  under 
management  contracts  to  improve  soil  management 
and/or prevent soil erosion 
Million hectares of forest or other wooded areas under 
management contracts supporting biodiversity 
For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for the 
operational outputs are set for 2023. 

agricultural 

NA 
0.2 

F 
P 
F 
P 
F 

14.5 

F 
P 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

8.9 

8.9 

0.2 

of 

P 

2016 
NA 
13.3 
NA 
10.4 
NA 

2020 
NA 

NA 

NA 

NA 

Specific Objective 5: Promoting resource efficiency and supporting the shift towards a low carbon and climate resilient economy 
in agriculture, food and forestry sectors (Priority 5) 
Indicator 1: % of irrigated land switching to more efficient irrigation systems (Focus area 5A: increasing efficiency in water use 
by agriculture) 

Baseline 2013 

Milestones foreseen 

2014/2015 

2016 

2017 

2018 
Not applicable* 

2019 

2020 

Target 2023 

0 

Actual results 

13.0% 

0,2% 
50 programmes include this Focus Area are concerned by this quantified target 
Indicator 2: Total investment in energy savings and efficiency (Focus area 5B: increasing efficiency in energy use in agriculture 
and food processing) 

1.8% 

Baseline 2013 

2014/2015 

2016 

0  

66 653 500 

93 637 115 

Milestones foreseen 
2017 

2018 
30% of the target for 2023** 

Actual results 

2019 

2020 

Target 2023 

2 861 246 986 

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32 programmes include this Focus Area and are concerned by this quantified target 
Indicator 3: Total investment in renewable energy production (Focus area 5C: Facilitating the supply and use of renewable sources 
of energy, of by products, wastes, residues and other non food raw material for purposes of the bio-economy) 

Baseline 2013 

2014/2015 

2016 

0  

2 173 000 

59 103 898 

Milestones foreseen 
2017 

2018 
30% of the target for 2023** 

Actual results 

2019 

2020 

Target 2023 

2 663 036 865 

64 programmes include this Focus Area and are concerned by this quantified target 
Indicator 4: a)% of LU concerned by investments in life-stock management in view of reducing the GHG and ammonia emissions 
b)  %  of  agricultural  land  under  management  contracts  targeting  reduction  of  GHG  and  ammonia  emissions  (Focus  area  5D: 
Reducing nitrous oxide and methane emissions from agriculture) 

Baseline 2013 

a) 0 

b) 0 

2014/2015 

2016 

2017 

2018 
Not applicable* 

Milestones foreseen 

Actual results 

0.2% 

0.1% 

2.4% 

1.6% 

49% of the target for 2023***   

Actual results 

2019 

2020 

Target 2023 

0.8 % 

3.0 % 

a) Out of the 53 programmes which include this Focus Area, 25 are relevant for this sub-indicator 
b) Out of the 53 programmes which include this Focus Area, 35 are relevant for this sub-indicator 
Indicator 5: % of agricultural and forest area under management to foster carbon sequestration (Focus area 5E: Fostering carbon 
sequestration in agriculture and forestry) 

Baseline 2013 

0  

Milestones foreseen 

2014/2015 

2016 

2017 

2018 
48% of the target for 2023*** 
Actual results 

0.5% 

0.6% 

2019 

2020 

Target 2023 

1.1% 

73 programmes include this Focus Area and are concerned by this quantified target 
*No milestones are available because there is no equivalent common Performance Framework Indicators in the RD Performance Framework 
**The indicative milestone, which represents an average for both Target Indicators, is based on the application of Performance Framework proxy indicator: Number 
of investment operations in energy savings and efficiency (€) (5B) + Number of investment operations in renewable energy production (€) (5C). This non mandatory 
indicator concerns 66 RDPs. 
***The indicative milestone, which represents an average for both Target Indicators,  is based on the application of Performance Framework proxy indicator: 
Agricultural and forest land under management to foster carbon sequestration/conservation (ha) (5E) + Agricultural land under management contracts targeting 
reduction of GHG and/or ammonia emissions (ha) (5D) + Irrigated land switching to more efficient irrigation system (ha) (5A). This non mandatory indicator 
concerns 79 RDP. Although this Performance Framework Indicator also takes into account part of the Focus Area 5A operations, this milestone is not representative 
for indicator 1 which has a particular implementation process compared to other operations taken into account in this indicator. 
Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Million hectares of irrigated land switching to more efficient irrigation systems 
Million hectares  of  agricultural  land  under  management  contracts  targeting  reduction  of 
GHG and/or ammonia emissions 
Live-stock Units concerned by investments in live-stock management in view of reducing 
GHG (Green House Gas) and/or ammonia emissions 
Million hectares agricultural and forest land under management contracts contributing to 
carbon sequestration or conservation 
Number  of  investment  operations  in  physical  assets  in  view  of  increasing  efficiency  in 
energy use in agricultural and food processing 
Number of investment operations in physical assets in view of facilitating the supply and 
use of renewable sources of energy 

Target 2023: 1.3 

Target 2023: 5.2 

Target 2023: 1 114 442 

05 04 60 01 

Target 2023: 4.0 

1 071 

Target 2023: 18 589 

Target 2023: 8 363 

Outputs 

Million  hectares  of  irrigated  land  switching  to 
more efficient irrigation systems 
Million  hectares  of  agricultural  land  under 
management  contracts  targeting  reduction  of 
GHG and/or ammonia emissions 
Live-stock  Units  concerned  by  investments  in 
live-stock  management  in  view  of  reducing 
GHG  (Green  House  Gas)  and/or  ammonia 

F 
P 
F 

P 

F 

P 

2014 
NA 

16 000 

NA 

NA 

0.56 

NA 

NA 

104 500 

2016 
NA 
183 900 
NA 

1.3 

NA 
97 221311 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2018 
NA 

2015 
NA 

2019 
NA 

2020 
NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

311 Reduction is explained by encoding errors by one Member State. To be regularised if possible in 2017. 

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Outputs 

2014 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2015 

2019 

P 

F 

NA 

NA 

emissions 
Million  hectares  agricultural  and  forest  land 
under  management  contracts  contributing  to 
carbon sequestration or conservation 
Number  of  investment  operations  in  physical 
assets in view of increasing efficiency in energy 
use in agricultural and food processing 
Number  of  investment  operations  in  physical 
assets in view of facilitating the supply and use 
of renewable sources of energy 
For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for the 
operational outputs are set for 2023. 

1173 

757 

306 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

1.1 

1.6 

39 

P 

P 

F 

F 

2020 

NA 

NA 

NA 

Specific Objective 6: Promoting social inclusion poverty reduction and economic development in rural areas (Priority 6) 
Indicator  1: Number of jobs  created through supported projects (outside  LEADER) (Focus area 6A: Facilitating diversification, 
creation of new small enterprises and job creation) 

Baseline 2013 

2014/2015 

2016 

0  

17 

990 

2017 

Milestones foreseen 
2018 
Not applicable* 

Actual results 

2019 

2020 

Target 2023 

79 370 

76 programmes include this Focus Area and are concerned by this quantified target 
Indicator  2: a)  %  of  rural  population  covered  by  local  development  strategies  b)  %  of  rural  population  benefiting  from  new  or 
improved  services  /  infrastructures  c)  Number  of  jobs  created  through  supported  projects  (LEADER)  (Focus  area  6B:  Fostering 
local development in rural areas) 

Baseline 2013 

2014/2015 

2016 

2017 

a) 0 

b) 0 

c) 0 

21% 

50.4% 

1% 

11.6% 

8 

424.8 

Milestones foreseen 

2018 
98% of the target for 2023** 

Actual results 

24% of the target for 2023*** 
Actual results 

Not applicable** 

Actual results 

2019 

2020 

Target 2023 

52.7 % 

17.3 % 

44 034 

a) Out of the 110 relevant adopted programmes, 108 are relevant for this sub-indicator 
b) Out of the 110 relevant adopted programmes, 76 are relevant for this sub-indicator 
c) Out of the 110 relevant adopted programmes, 108 are relevant for this sub-indicator 
Indicator 3: % of rural population benefiting from new or improved IT infrastructures ( Focus area 6C: Enhancing accessibility to 
use and quality of information and communication technologies (ICT) in rural areas) 

Baseline 2013 

0  

Milestones foreseen 

2014/2015 

2016 

2017 

2018 
24% of the target for 2023*** 

Actual results 

2019 

2020 

Target 2023 

6.1% 

0% 

0.2% 

47 programmes include this Focus Area and are concerned by this quantified target 
*No milestones are available because there is no equivalent common Performance Framework Indicators in the RD Performance Framework 
**The indicative milestone is based on the application of Performance Framework proxy indicator: Population covered by Local Action groups (LEADER). This 
non-mandatory indicator concerns 107 RDPs. 
***The indicative milestone, which represents an average for both Target Indicators, is based on the application of Performance Framework proxy indicator: 
Number of operations supported to improve basic services and infrastructures in rural areas. This non-mandatory indicator concerns 71 RDPs. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Number  of  beneficiaries  (holdings)  receiving  start  up  aid/support  for  investment  in  non-
agricultural activities in rural areas 
Million rural area inhabitants benefitting from improved services and/or infrastructures 
Million rural area inhabitants covered by a local development strategy 
Million rural area inhabitants benefitting from new or improved services/infrastructure 

05 04 60 01 

Target 2023: 54 298 

Target 2023: 50,4 
Target 2023: 153,3 
Target 2023: 18,0 

2 232 

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Outputs 

2014 
NA 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2018 
NA 

2016 
NA 

2015 
NA 

2019 
NA 

P 

F 

39 

Number  of  beneficiaries  (holdings)  receiving 
start  up  aid/support  for  investment  in  non-
agricultural activities in rural areas 
Million  rural  area  inhabitants  benefitting  from 
improved services and/or infrastructures 
Million rural area inhabitants covered by a local 
development strategy 
Million  rural  area  inhabitants  benefitting  from 
new or improved services/infrastructure (ICT) 
0.001 
For the EAFRD there is no ex-ante monitoring of the outputs via setting the annual forecasts for the implementation. The targets for the 
operational outputs are set for 2023. 
Justification of changes to the financial programming and/or to the performance information 

NA 
38 
NA 
35.6 
NA 
1.2 

F 
P 
F 
P 
F 
P 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

2.5 

2.1 

75 

2020 
NA 

NA 

NA 

NA 

For rural development programmes, commitment appropriations for budget line 05 04 60 01 (programming period 2014-2020) in 
2019 amount to EUR 14 656 million. Total payment appropriations amount to EUR 13 100 million, all relating to the programming 
period 2014-2020. It represents an increase of 11% compared to the voted budget 2018. 

As regards 2007-2013 programming period, no payment appropriations are requested. By end 2017, 67 out of 92 RD programmes 
were closed and the balance payments or recoveries for those programmes were executed. 

For the 2014-2020 programmes it is foreseen that around 49% of total EAFRD payment appropriations in 2019 will be used for 
annual  measures  and  around  51%  for  multi-annual  type  measures.  The  appropriations  for  annual  measures  have  been  calculated 
based on total programming period’s annual part. For the multi-annual type measures, the estimated evolution of payments is based 
on  past  experience  over  the  2007-2013  programming  period  and  taking  into  account  the  rhythm  of  implementation  of  the  2014-
2020 programmes. 

Programmes' implementation 2014-2020 (Common Strategic Framework)* 

Thematic objectives of the Common Strategic Framework 

Commitments 
2014-2020 
EUR million (1) 

Cumulative payments 
declared by MS at end 
2017 (2) 

(2)/(1)
% 

 88,1 

 35,8 

3,9% 

3,4% 

 909,7 

2 574,8 

27 998,7 

1. Strengthening research, technological development and innovation 
Outputs: 
2. Enhancing access to, use and quality of, information and communication technologies 
Outputs: 
3. Enhancing the competitiveness of the agricultural sector 
Outputs: 
4. Supporting the shift towards a low-carbon economy 
Outputs: 
5. Promoting climate change adaptation, risk prevention and management 
Outputs: 
6. Protecting the environment and promoting resource efficiency 
Outputs: 
8. Promoting sustainable and quality employment and supporting labour mobility 
Outputs: 
9. Promoting social inclusion and combating poverty 
Outputs: 
10. Investing in education, training and vocational training for skills and lifelong learning 
Outputs: 
TOTAL 
*The above allocation of commitments into thematic objectives is indicative based on the Member States’ programmes, situation end  2017. The 
breakdown can be subject to changes due to possible modification of the RDPs. The cumulative amounts of payments declared by Member States 
are  provided  until  Q3  2017.  The  amounts  for  Technical  Assistance  Measures  and  Discontinued  Measures  are  not  included  as  they  do  not 
contribute to any of the thematic objectives 

20 851,3  21,5% 

6 465,2  31,2% 

4 813,2  17,2% 

7 347,0  29,7% 

 741,3  15,1% 

97 096,0 

24 712,5 

20 709,9 

11 496,4 

1 043,7 

1 114,5 

2 663,6 

4 916,1 

 243,6 

9,1% 

6,6% 

9,1% 

 73,5 

5. Programme contribution to the Sustainable Development Goals 

A summary of the CAP programmes' main contributions to the Sustainable Development Goals is provided in the introductory part 
of the programme statements since these are equally applicable to the EAGF and EAFRD. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme  

Financial instruments (FI) are the key tool for leveraging and revolving the rural development financing. The EAFRD is well on 
track to meet the target of doubling the use of FI as compared to 2007-2013 with four FIs being operational in 2017 and 13 funding 
agreements to have been signed between EAFRD managing authorities and Fund managers, including the EIF.  

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By end 2017, FI were fully programmed in 27 RDPs in eight MS (DE, EE, ES, FR, IT, PT, RO and SI). At the end of 2017, the 
planned public budget for financial instruments in rural development programmes 2014-2020 is EUR 669  million (out of which 
EUR  465  million  EAFRD),  with  EUR  31  million  of  public  expenditure  (EUR  23  million  EAFRD)  already  declared  to  the 
Commission. In 2017 nine Funding  Agreements have  been signed by  the EAFRD Managing  Authorities.  Additional programme 
modifications introducing financial instruments are ongoing (e.g. Italian, French regions, Slovenia, Croatia, Spain and Romania). 

The  Commission  with  the  EIB  identified  and  developed  the  FI  schemes  that  can  be  used  by  farmers,  foresters  and  related  rural 
businesses.  It  has  also  launched  a  specific  EAFRD  –  EFSI  Initiative,  based  on  the  Omnibus  proposal  with  three  pilot  projects 
already launched in 2017.  

The  Commission  services  also  launched  a  specific  advisory  activity  'targeted  coaching  on  financial  instruments  for  EAFRD 
managing authorities. This advisory activity, only in 2017, was taken up by 16 managing authorities, of which  12 coaching cases 
were already completed that year. 

Use of FIs (expenditure declared to the Commission) under the EAFRD by end 2017.  

RDP 

Name of the FI 

Estonia 

FR Languedoc Roussillon 

DE Mecklenburg-Vorpommern 

IT Lombardia 

Financial instrument of 
Estonian Rural Development 
Plan for 2014–2020 
FOSTER TPE-PME (FEADER) 
Errichtung und Betreibung 
eines Darlehensfonds zur 
Markteinführung 

Total amount of public 
expenditure declared to the 
Commission (EUR) 

Rural Development 
Focus Areas to which 
the FI contributes 

Thematic Objectives to 
which the FI contributes 

16 556 775 

2A, 3A, 5C, 6A 

TO3, TO4, TO8 

3 750 000 

2 500 000 

8 300 000 

2A, 3A, 5E 

TO3, TO4 

2A 

3A 

TO3 

T03 

IV. Performance of the Predecessor programme 

Implementation (2007-2013) 

The monitoring system on rural development policy 2007-2013 provides a picture of its main outputs. More specifically, in Axis 1 
(competitiveness) around three million farmers were successfully trained and over EUR 44.8 billion invested to support 430 000 
modernization projects in farm holdings. In axis 2 (Environment and land management), measures targeting environmental issues 
have been implemented on 47  million  hectares so  far. In  axis 3 (Economic diversification and quality of life)  more  than 40 000 
projects  of  village  renewal  and  development  and  rural  population  are  completed  and  nearly  70  000  micro-enterprises  have  been 
supported or created. Finally, 178 000 LEADER projects (axis 4) have been supported so far. This picture  is completed by the ex-
post evaluation which assess the overall impacts of the rural development policy. Individual ex-post evaluations at the level of the 
programmes  were  submitted  by  the  Member  States  to  the  Commission  at  the  end  of  the  year  2016.  Based  on  those  reports,  the 
Commission will finalise in 2018 an overall synthesis at the level of the Union. 

All individual programmes were subjected to many corrective modifications based on the difficulties encountered in the first  years 
of  implementation,  taking  into  account  the  recommendations  from  the  mid-term  evaluations  and  incorporating  additional  funds 
addressing  new  challenges  (CAP  Health  Check)  and  the  economic  crisis  (European  Economy  Recovery  Package).  Most  of  the 
changes observed have been shifts of financial allocations between measures of the same or different axis, adaptation of targeted 
beneficiaries and eligibility criteria. The main reasons for budget changes were changes in strategic priorities, low absorption rate 
as  well  as  the  need  to  overcome  unforeseen  problems  or  issues  arising  due  to  changed  economic  or  wider  policy/legislative 
contexts. 

The European Court of Auditors issued five special reports directly related to rural development. The topics covered by the Court 
were:  

  The contribution of technical assistance to agriculture and rural development; 
  Financial instruments as a successful and promising tool in the rural development area; 
  The cost-effectiveness of EU Rural Development support for non-productive investments in agriculture; 
  EU support for rural infrastructure: potential to achieve significantly greater value for money; 
  The EU priority of promoting a knowledge-based rural economy.  

The  key  recommendations  of  the  Court  have  been  addressed  by  the  Commission.  In  particular,  the  recommendations  related  to 
improving  guidance  and  reducing  obstacles  to  the  uptake  of  financial  instruments,  were  addressed  in  the  context  of  the 
simplification  modification  of  the  EAFRD  Implementing  Act  and  the  Commission  proposal  for  the  regulation  modifying  the 
sectorial basic acts finalised in 2016.  

Moreover,  in  2016  the  European  Court  of  Auditors  (ECA)  issued  the  Special  report  No  36/2016:  An  assessment  of  the 
arrangements  for  closure  of  the  2007-2013  cohesion  and  rural  development  programmes.  The  ECA  examined  whether  the 
rules and procedures for the closure provide a basis for the Commission and the Member States to close programmes in an efficient 
and  timely  manner.  It  concluded  that  Commission’s  closure  guidelines  concerning  rural  development  were  timely  and 

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comprehensive and provided an adequate basis for Member States to prepare effectively for closure. In addition, the Commission 
delivered  efficiently  additional  support  addressing  Member  States’  needs.  As  regards  the  closure  of  the  current  programming 
period, the Court recommended paying more attention to the results achieved and further aligning of the rules between the cohesion 
and rural development areas. The Commission was unable to accept the recommendations on the post 2020 framework because it 
cannot commit itself to any proposals at this stage. Moreover, the Commission considers that alignment of arrangements in rural 
development and cohesion must not undermine the consistency of implementation of the CAP. 

Contribution to policy achievements: 

Given that ex-post evaluations on the performance of the 2007-2013 RD programmes were only submitted by Member States to the 
Commission  at  the  end  of  2016312,  the  Commission  has  launched  a  high  level  synthesis  report  that  will  be  finalised  in  2018. 
Consequently  the  achievements  reported  below  are  based  mainly  on  available  monitoring  information  on  programme 
implementation.   

The  CAP  has  continued  to  promote  the  sustainable  management  of  natural  resources  and  climate  action  through  dedicated  rural 
development measures such as agri-environmental measures, including support for organic farming. The expansion of the surface 
under agri-environmental schemes during the 2007-2013 programming period (46.8 million ha, representing more than 25% of the 
EU-27 Utilised Agricultural Area in 2013) has played an important role in the improvement of the environmental performance of 
EU farming. Emissions from the agricultural sector have continued to decline, showing an average annual rate of decrease of 0.8% 
between 2001 and 2012. The share of agriculture in total net emissions reached 9.6% in 2015. 

The CAP also promoted a balanced territorial development in the EU through its various instruments. For instance, the payments 
resulting  from  application  of  various  RD  measures  provided  to  the  vast  majority  of  the  12  million  agricultural  holdings  and  its 
associated 25 million people is a crucial element for maintaining employment. In this context, rural development supported almost 
53 000 operations improving basic services in rural areas in the period 2007-2013. 

In addition, innovation support has so far been channelled to 156 600 farms that have introduced new products or technologies in 
their  farm  businesses  and  430  000  farms  have  received  modernisation  support.  On  the  developmental  side,  around  2  000 
cooperation projects focussing on developing new products or new techniques have received support in the 2007-2013 period. 

Generated EU added value (ex-post) 

The EAFRD is the  key tool to deliver results  in rural areas in a  number of EU priorities. The 2007-2013 programmes helped to 
modernize and restructure the agricultural sector, ensuring improved input for the EU food industry, the biggest employment sector 
in the Union. Through widely implemented agri-environment schemes, the programmes improved the environmental performance 
and reduced carbon foot print of farming whilst taking into account local specificities. 

Through  the  European  Network  for  Rural  Development  (ENRD)  and  national  networks  the  best  practices,  experience  and 
innovative solutions were shared amongst Member States, effectively improving the impact of the fund. The common approach to 
local development (through LEADER) improved territorial cohesion, social innovation and capacity building in the rural economy 
at local level. 

LEADER is an established methodology, applied mandatory in all MS. The knowledge exchange, mutual learning and best practice 
development realised through networking and cross border cooperation projects, could not occur without an EU contribution. The 
integrated, bottom-up dimension of LEADER creates a sense of ownership of the community projects. In addition, since LEADER 
funding is limited, good practices developed under LEADER can often be scaled up using other funds, again creating EU added 
value. An example of such activities could be the 35 EAFRD Projects on Migrants and Refugees: investing in the integration and 
welfare of immigrants, refugees and asylum seekers through a series of LEADER projects. 

312   Some evaluations are still incomplete or missing: BG, RO, ES (Galicia), FR (Hexagone only draft) 

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HEADING 2: Sustainable growth: natural resources 

European Maritime and Fisheries Fund (EMFF) 
Lead DG: MARE 

I. Programme Overview 

What the programme is about? 
The EU has exclusive competence for the conservation of marine biological resources313, both in EU waters and in relation to the 
international  obligations  deriving  from  UNCLOS314  and  from  other  UN  agreements  to  which  the  EU  is  a  Party.  The  exclusive 
competence equally applies to the  bilateral  fisheries agreements signed  with third countries.  All these areas are regulated by the 
Common Fisheries Policy (CFP). The EMFF helps Member States to meet the obligations imposed on them by the CFP, which is 
necessary for the attainment of the objectives of the policy. The EMFF supports the implementation of operational programmes set 
out  by  MS  that  contribute  to  four  of  the  eleven  thematic  objectives315  of  the  ESI  funds  and  translate  the  Europe  2020  strategic 
objectives  into  investment  priorities.  The  EMFF  is  not  only  directed  to  fisheries  and  innovation  in  fisheries,  aquaculture  and 
processing, but also to support diversification and promote the economic development of fisheries dependent areas.  

EU added value of the programme 

Given the structural challenges facing the European fisheries and aquaculture sector, as well as the limits of the financial resources 
of individual MS, MS are not in a position to sufficiently address the problems themselves. That is why these problems are better 
addressed at EU level through multi-annual financing, with focus on a select number of relevant priorities. 

Achieving sustainable fisheries may have some negative social impacts for coastal communities in the short to medium term; this 
needs mitigation through diversification and encouragement of fishers to find employment in expanding maritime economy sectors. 
This is of particular importance to coastal communities dependent on fisheries, in particular in areas where the fishing sector still 
faces serious problems (such as the Mediterranean and Black Seas): here a policy at EU level can provide real added value.  

Several  factors  related  to  aquaculture  (e.g.  allocation  of  space,  issuing  and  renewing  of  licences)  have  a  strong  subsidiarity 
dimension. Many marine aquaculture sites operate in marine ecosystems which go beyond national borders and the planning of the 
maritime space requires coordinated planning efforts at EU-level. 

Control and enforcement, as well as data collection and scientific advice, are core elements for the effective implementation of the 
CFP. These activities, co-ordinated and co-financed at EU-level, represent significant savings and synergies in terms of costs and 
compliance over the comparable national mechanisms. 

Maritime  policy  and  the  development  of  the  blue  economy  is  by  nature  cross-sectoral  and  transnational,  e.g.  through  the 
development of sea-basin strategies that cover several Member States and (where appropriate) partner countries; and via efficiency 
gains  in  the  use  of  funds,  application  of  rules  and  the  involvement  of  bodies/institutions,  to  reduce  the  fragmentation  and 
duplication of actions. In this policy field, action at EU-level is likely to produce clear benefits compared to action only at Member 
State/regional level. Marine knowledge assembles data and makes it accessible across the EU, CISE provides a common European 
maritime surveillance environment,  while the sharing (at EU or sea basin levels) of coast guard capacities between agencies and 
Member  States  increases  the  effectiveness  and  efficiency  of  operations  at  sea.  Maritime  spatial  planning  is  a  way  to  better 
coordinate the common European maritime space and ensure coherence across borders (within and outside the EU). In blue growth 
areas such as ocean energy, when compared to separate Member State initiatives and budgets, the coordination of activities related 
to research (but also other non-technological issues) at European level accelerates the development of the sector (i.e. achieving the 
critical mass for investment and developing the market).   

II. Programme Update 

Implementation Status (2014 -2017) 

Expenditure supporting the Fisheries and Maritime Policies is financed through a single fund, the EMFF, either directly or in the 
context  of  shared  management  with  Member  States.  Shared  management  with  Member  States  applies  to  measures  to  support 
fisheries, aquaculture and community-led local development,  processing and  marketing, compensation for the outermost regions, 
control and data collection activities as well as the IMP. Direct management is used to implement scientific advice, specific control 
and  enforcement  measures,  voluntary  contributions  to  regional  fisheries  management  organisations,  Advisory  Councils,  market 
intelligence, operations for the implementation of the IMP and communication activities. 

Shared management (2014-2020 envelope of EUR 5 749 million): 

313 3 (1) (d) of the Treaty on the Functioning of the European Union (TFEU). 
314 United Nations Convention for the Law of the Sea 
315 Thematic objectives (TO):  
TO 3: competitiveness of SMEs in the fisheries sector; TO 4: supporting the shift towards a carbon-free economy; TO 6: preserving and protecting the environment 
and promoting resources efficiency; TO 8: promoting sustainable and quality employment. 

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Although the EMFF implementation started officially in January 2014, the late adoption of the EMFF Regulation (May 2014) has 
entailed a delay in the adoption of EMFF Operational Programmes (OPs) and to preparatory work for implementation such as the 
setting  up  of  the  EMFF  Monitoring  Committees.  As  of  February  2018,  24  Member  States  have  notified  to  the  Commission  the 
designation of authorities for the management of the fund, which is a prerequisite for the submission of interim payments (art.123 
of the ESIF Common Provisions Regulation). 

Direct management (2014-2020 envelope of EUR 647 million): 

The implementation of work programmes was globally satisfactory in the years 2014  – 2016 with the exception of the action for 
chartering/purchase of joint fisheries control means. In order to maximise the use of available funds (for the remaining period of 
2017-2020, resources were directed away mostly from the 'control and enforcement' area and reallocated to areas where resources 
can  be  successfully  implemented  (e.g.  Integrated  Maritime  Policy,  voluntary  contributions  to  international  organisations),  by  the 
Commission316.   

In 2014 EASME has taken over implementation of part of the actions in the area of Integrated Maritime Policy (Specific Objective 
n°2),  scientific  advice  and  knowledge  and  fisheries  control  (Specific  Objective  n°4).  A  slightly  smaller  share  of  the  work 
programmes is implemented by DG MARE or, for actions relating to the  MSFD (Marine Strategy Framework Directive), by DG 
ENV. 

Key achievements 

Shared management: EMFF implementation is still at a relatively early stage.  Nevertheless, over 3 600 fishing vessels benefited 
from  the  European  Maritime  and  Fisheries  Fund  ('EMFF'),  57%  of  which  belonged  to  the  small-scale  coastal  fishing  fleet.  The 
provided support promotes sustainable balance between fishing fleets and resources and the protection of the marine ecosystems.  
The EMFF has also supported better management of more than 60 000 km² of Natura 2000 areas, and almost 1.5 million km² of 
other marine protected areas. 

By the end of 2016 the Managing Authorities selected: 

- 
- 
- 

- 
- 

50 operations supporting innovation and new technologies with an EMFF contribution of around EUR 19.8 million; 
4 540 operations addressing SMEs or private persons; 
34 operations supporting the  promotion of  human capital and social dialogue  -  training,  networking and social dialogue 
with an EMFF contribution of around EUR 4.2 million (excluding CLLD actions); 
48 operations supporting energy efficiency with an EMFF contribution of around EUR 0.4 million; 
2 200 projects addressing environment and resources efficiency with an EMFF contribution of EUR 82.9 million. 

The key achievements will be more apparent as the number of operations selected and the support allocated increase.  It can already 
be said that the operations not only benefit the (legal or natural) persons that officially act as beneficiaries of the operation, but also 
others. It is estimated that more than 35 000 fishermen, their spouses/partner and members of producer organisations benefit  from 
the support, as well as 33 000 other persons such as employees of processing companies and port users. 

Direct management: The Commission continued to support policy developments in the field of the Common Fisheries Policy and 
the Integrated Maritime Policy in the year 2017. The key achievements for the two policies are presented below. 

Integrated Maritime Policy (IMP) 

Blue economy 
In a report on the Blue Growth Strategy of March 2017317 the Commission took stock of its Blue Growth policy, initiated in 2012.  
The focus on five key sectors (ocean energy, aquaculture, coastal and maritime tourism, blue biotechnology and the exploitation of 
marine  minerals)  is  delivering  but  further  efforts  are  need  to  grasp  the  full  potential  of  the  blue  economy.  The  need  for  further 
actions was supported by the Member States, the EP and the ECR318. 

The  Commission  has  been  active  in  promoting  the  development  of  aquaculture,  raising  the  topics  of  modern,  innovative 
aquaculture  techniques  and  growth  in  output  in  two  workshops  with  Member  States  in  2017.  The  Commission  also  adopted  an 
implementing regulation on organic shrimp feed in May 2017 which  serves to bring clarity to the organic farming of shrimp. In 
addition, in March 2017, the Commission proposed measures to remove barriers to the growth of nautical tourism in the EU. To 
strengthen Europe's competitive position in the blue biotechnology, the EMFF will support the creation of a marine bio-economy 
forum bringing together industry, public authorities, academia and finance. The evaluation of the call for tenders was finalised end 
2017. 

Ocean governance 
The EU set a landmark in 2017 in terms of international ocean governance by its organisation of the global Our Ocean Conference 
in Malta (5-6 October). The results achieved were unprecedented and confirmed the EU's role as the world's "oceans champion" 

316 Commission Delegated Regulation (EU) 2017/1787 of 12 June 2017 amending Regulation (EU) No 508/2014 of the European Parliament and of the Council as 
regards the distribution of funds under direct management among objectives of the Integrated Maritime Policy and the Common Fisheries Policy 
317 SWD(2017) 128 final 
318 See the Valetta Declaration endorsed under the Maltese Presidency, the June Council Conclusions on Blue Growth, the opinion on 'A new stage in the 
European policy on Blue Growth' adopted by the Committee of the Regions, and the Declaration of the EP Intergroup – SEARICA- on 'Strengthening the 
blue Europe to the benefit of EU citizens' 

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and  as  a  strong  global  actor.  In  particular,  the  conference  resulted  in  437  measurable  commitments  worth  EUR  7.2  billion, 
addressing  critical  issues  such  as  environmental  protection  (marine  pollution,  biodiversity,  climate…),  maritime  security,  and 
sustainable fisheries. Also, participants announced the creation of an additional 2.5 million km² of Marine Protected Areas , or more 
than half the size of the EU. 

Marine Knowledge 
European  Marine  Observation  and  Data  Network  (EMODnet),  which  provides  access  to  European  marine  data  across  seven 
discipline-based  themes319  to  policy  makers,  scientists,  private  industry,  etc.,  is  now  fully  operational.  The  growing  number  of 
visitors using EMODnet on a year-to-year basis (compared to 2016 the number of visitors tripled, see Indicator 2.1) testifies to the 
success and importance of this platform.  

Maritime spatial planning 
In March 2017, the Commission organised a second international conference on Maritime Spatial Planning (MSP) together with the 
Intergovernmental Oceanographic Commission (IOC) of UNESCO. Regular meetings during the year of the Member State Expert 
Group on MSP helped exchanging practice and prepare for the national maritime spatial plans. The Commission set up a workshop 
on Land-Sea Interaction in MSP (Malta, June) and a Conference on MSP for Blue Growth (Brussels, October) 

Cooperation through exchange of information and best practices 
Common  Information  Sharing  Environment320  (CISE)  which  is  a  key  part  of  the  European  maritime  safety  and  security  strategy 
EUMSS  has  improved  the  interoperability  between  EU  and  some  400  national  surveillance  systems  so  that  they  can  better 
cooperate. By the end of 2017 seven IT interoperability projects were completed increasing the potential of participating authorities 
to connect within the future CISE. In addition, a high level concept paper from the Commission services to support the operational 
implementation of CISE has been discussed with the Member States in December 2017.   

CFP 
A  new  data  collection  framework  was  established  by  Regulation  (EU)  2017/1004.  It  revises  the  rules  on  the  collection, 
management  and  use  of  data  (biological,  environmental,  technical  and  socio-economic)  in  the  fisheries  sector.  The  goal  is  to 
contribute better towards reaching the CFP objectives , including achieving MSY by 2020. Also, it addresses an increasing need for 
economic  data  (such  as  profit  margins  and  values)  and  economic  advice  in  fisheries  management.  To  that  end,  the  Commission 
facilitated the setting up of six new Regional Coordination Groups. 

The Commission in 2017 continued to work on the implementation of a new dynamic in fisheries governance in the Mediterranean 
through the Malta Medfish4Ever Ministerial Declaration of March 2017, in the Black Sea through the follow-up to the Bucharest 
Declaration and the work done through the General Fisheries Commission for the Mediterranean (GFCM). The aim of this measure 
is to reverse overfishing in the Mediterranean and the Black Sea. 

The Commission also continued to support the functioning of the 10 Advisory Councils (ACs) to ensure a balanced representation 
of  all  stakeholders  interested  in  the  CFP.    In  2017,  the  Advisory  Councils  submitted  some  60  opinions  or  advice  notes  to  the 
European  Commission  on  the  management  of  fisheries,  on  the  socio-economic  and  conservation  aspects  of  fisheries  and  on 
aquaculture.  

Evaluations/studies conducted 

For 2014-2020 a stronger emphasis is placed on the need to evaluate the effects of the policies co-financed through the ESI Fund 
programmes. EMFF programmes are at a very early stage of implementation and therefore only a limited number of evaluations 
took place. Nine Member States reported some evaluation activities in the AIR submitted 2017 (CY, CZ, DK, FI, HU, LV, PT, RO, 
SK). The activities include mainly the formation of an evaluation steering committee. However, some Member States (CZ, FI, LV) 
have reported the start of evaluations such as process evaluations (i.e. in CZ) or sector analyses (e.g. in FI).  Most of the Member 
States plan to start evaluation in 2018.  

As provided for in the Common Provision Regulation for the ESI Funds, at the end of 2017, the Commission submitted to the other 
institutions a strategic report summarising the progress reports of the Member States. All Member States have drafted evaluation 
plans in accordance with the applicable requirements.  The plans cover areas such as governance settings (related to monitoring and 
evaluation tasks), data and information strategy (the best developed section of the plans), staff resourcing and (to a limited extent) 
CLLD. 

The Commission has prepared an EMFF evaluation working paper to support Member States with their evaluation process in order 
to address a demand from the Member States and programmes.  It has also issued working papers to guide the managing authorities 
on  the  indicators  system  (definitions  and  operationalisation  of  indicators)  and  to  facilitate  the  implementation  of  the  Infosys 
regulations.  In addition, the mid-term review of the direct strand of the EMFF is on-going and the results will be published in the 
course of the year 2018. The European Marine Observation and Data Network is being evaluated separately in more detail within 
the same time frame. 

319 Bathymetry, geology, seabed habitats, chemistry, biology, physics and human activities. 
320 CISE is a voluntary collaborative process, across authorities and borders, to enhance and promote awareness over the European maritime domain, for the 
prosperity and security of the EU and its citizens 

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A  stocktaking  report321  on  the  implementation  of  the  Common  Monitoring  and  Evaluation  System  (CMES)  for  the  EMFF  was 
issued in January 2018. It indicates that progress is being made towards the four objectives of the CMES but further work is still 
required to achieve these objectives fully. 

The CMES  has been designed to assess the  progress  in EMFF implementation and to  support decision-making in this respect at 
both national and EU levels. The use of common indicators and the new monitoring system provide a robust set of data which can 
be  used  for  monitoring  purposes  and  also  for  decision-making.    The  cumulative  data  on  operations  supplied  by  MS  via  Infosys 
reporting  provides  a  "dashboard"  allowing  the  Commission  and  the  MS  to  better  monitor  the  progress  in  implementation  of  the 
EMFF. It also allows the Commission to draw conclusions at EU, sea-basin and cross-MS level, and has already proved very useful 
in supporting decision-making. 

The current set-up of the CMES provides useful data for assessing its contribution to the development of the fisheries sector and to 
the objectives of EU 2020 as translated in the Thematic Objectives.  The possible inclusion, in future, of indicators more closely 
related to the Common Fisheries Policy and the Maritime Policy priorities is considered helpful. 

Forthcoming implementation (2018-2019) 

Shared  management:  The  EMFF  implementation  is  expected  to  reach  cruising  speed  in  2018  after  delays  in  Member  States 
implementation of the operational programmes in the first years of the current programming period.  

Direct management: The amount allocated to actions in the 2018 Work Programme for procurement and grants totals EUR 85.3 
million, which will be mostly implemented through actions related to fostering Integrated Maritime Policy in the fields of the blue 
economy, sea-basin strategies and international ocean governance, maritime spatial planning, marine observation and data, marine 
environmental  improvement  and  common  information-sharing  for  maritime  safety  and  security.    The  EMFF  will  also  continue 
supporting the work and programmes carried out by international organisations as well as Advisory Councils. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 508/2014 of the European Parliament and of the Council of 15 May 2014 on 
the European Maritime and Fisheries Fund and repealing Council Regulations (EC) No 2328/2003, 
(EC) No 861/2006, (EC) No 1198/2006 and (EC) No 791/2007 and Regulation (EU) No 1255/2011 
of the European Parliament and of the Council 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

6 396,6 

Financial Programming (EUR million) 

2015 

2014 

Total 
Programme 
24,9 
Administrative support 
6 338,9 
Operational appropriations 
17,8 
Executive Agency 
6 381,6 
Total 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

3,3 
116,1(*) 
0,8 
120,3 

3,4 
1 617,3 
1,9 
1 622,6 

3,5 
926,8 
3,0 
933,4 

3,7 
953,3 
3,3 
960,3 

3,6 
935,2 
3,2 
942,1 

3,7 
885,1 
2,6 
891,4 

3,7 
905,1 
2,9 
911,7 

DB2019 

2018 

2016 

2017 

2020 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

911,742 

99,72 % 

378,201 

99,66 % 

933,361 

95,79 % 

499,547 

5,26 % 

Authorised appropriations (*) 

1 044,630 

99,75 % 

511,503 

74,58 % 

933,477 

95,78 % 

629,199 

9,38 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
3% of the EU's GDP should be invested in R&D 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
20 million less people should be at risk of poverty 

321 COM(2018) 48 final of 30.01.2018 

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Contribution to Europe 2020 priorities 

Priority 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

49.7  
Smart Growth (innovation, education, digital society) 
353.5 
Sustainable Growth (competitiveness, climate, energy and mobility) 
389.5 
Inclusive Growth (employment and skills, fighting poverty) 
Total 
792.7 
These  forecasts  are  based  on  the  total  EMFF  allocation  to  the  Europe  2020  priorities  as  per  data  provided  by  the  MS  in  the  Annual 
Implementation Reports (EUR 5 404 million for the whole programming period). The annual EMFF contribution is calculated in proportion to the 
EMFF tranche in the annual budget.  

49.4 
351.1 
386.8 
787.3 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

1.  Promoting  competitive,  environmentally  sustainable,  economically  viable  and  socially  responsible 
fisheries and aquaculture 
2.  Fostering  the  development  and  implementation  of  the  Union's  Integrated  Maritime  Policy  in  a 
complementary manner to Cohesion policy and to the Common Fisheries Policy 
3. Promoting a balanced and inclusive territorial development of fisheries and aquaculture areas 
4. Fostering the implementation of Common Fisheries Policy 
These forecasts are based on the total EMFF allocation to climate objectives in EMFF OPs (EUR 1 011 million for the whole programming 
period). The annual EMFF contribution is calculated in proportion to the EMFF tranche in the annual budget. 

147.4 

148.4 

2014 
138.7 

2014 – 2016 
2015 
140.4 

2017-2018 estimates 

2016 
141.7 

2017 
144.0 

2018 
147.4 

2019-2020 programming 
2020 
2019 
151.0 
148.4 

Total 
2014-2020 
1 011.6 

These forecasts and amounts are based on the total EMFF allocation to climate objectives in EMFF Operational Programmes (EUR 1 011 million 
for the whole programming period). The annual EMFF contribution is calculated in proportion to the EMFF tranche in the annual budget. 

Contribution to financing biodiversity 

Relevant objective/output 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

1. Promoting competitive, environmentally sustainable, economically viable and socially responsible 
fisheries and aquaculture 
2. Fostering the development and implementation of the Union's Integrated Maritime Policy in a 
complementary manner to Cohesion policy and to the Common Fisheries Policy 
3. Promoting a balanced and inclusive territorial development of fisheries and aquaculture areas 
4. Fostering the implementation of the Common Fisheries Policy 
These forecasts are based on the allocation in the Operational Programmes to Thematic Objective 6 - "Preserving and protecting the environment 
and promoting resource efficiency" (Rio marker of 40 % of the total applied to budget line 11 06 60). The annual EMFF contribution is calculated 
in proportion to the EMFF tranche in the annual budget. In addition, 40% of the relevant funding in direct management (scientific advice and 
knowledge, control and enforcement and voluntary contributions to Regional Fisheries Management Organisations) is included. 

136.7 

138.0 

2014 
129.7 

2014 – 2016 
2015 
132.5 

2017-2018 estimates 

2016 
131.6 

2017 
133.8 

2018 
136.7 

2019-2020 programming 
2020 
2019 
140.7 
138.0 

Total 
2014-2020 
943.0 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-2020 
programming period (totals by programme in EUR Million). 

Gender mainstreaming 
While setting up their Operational Programmes (OPs), responsible Managing Authorities are required to consult bodies promoting 
gender equality322. They should consider whether the EMFF measures targeting women in fishing/aquaculture323) are to be included 
in their OPs; they must also324 "ensure publicity for the operational programme by informing bodies involved in promoting equality 
between men and women of the possibilities offered by the programme.  Furthermore, Managing Authorities should325 "examine 
actions  to  promote  equality  between  men  and  women,  equal  opportunities,  and  non-discrimination,  including  accessibility  for 
disabled persons". 

Finally, thought should be given (when setting up the monitoring and evaluation system) to what specific data needs may arise, to 
enable Managing Authorities to evaluate the actions taken to promote equality between men and women, equal opportunities and 
non-discrimination, including accessibility for disabled persons. 

322  
323  
324  
325  

Art 5 of (EU) Reg. 1303/2013 
Art 29 (b) and 50 (c) of EU Reg. 508/2014 
Art 97 (EU) Reg. 508/2014 
Art 113 (EU) Reg. 508/2014 

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Access to a legal status for all assisting spouses will constitute the formal recognition of their contribution to fisheries  enterprises 
and it will give visibility to women’s participation in the fisheries sector. But some MS have yet to give this status to fisherwomen 
despite the claims of fisherwomen organizations and the available EU directives (2010/41/EU of the European Parliament and of 
the Council). 

4. Performance information 

Specific objectives 

Specific Objective 1: Promoting competitive, environmentally sustainable, economically viable and socially responsible fisheries 
and aquaculture 
Indicator 1: Labour productivity (in terms of gross value added per employee) in the EU fisheries sector 

Baseline 
2011 

- EU fishing fleet: 
38,700 €/employee. 
- EU aquaculture: 
44,000 €/employee. 
- EU fish processing:  
53,500 €/employee. 
Employment is measured 
in full time equivalents. 

Milestones foreseen 

2014 

2015 

2016 

2017 
Increase in fisheries 
sector's productivity: 
(%) equals or 
exceeds that of the 
EU economy (%). 

Actual results 

- EU fishing fleet: 
41,300 €/employee. 
- EU aquaculture: 
49,600 €/employee. 
- EU fish processing: 
56,700 €/employee   

EU fishing fleet: 
42,800 €/employee. 
- EU aquaculture:* 
EU fish processing:  
59,900 €/employee 

** 

2018 

2019 

Target 2023 

Increase in fisheries 
sector's productivity: 
(%) equals or 
exceeds that of the 
EU economy (%). 

* The data will be available in December 2018 
**The data is made available for fishing fleet and aquaculture in the month of August of year N+2 after the approval of the Scientific Technical 
and Economic Committee for Fisheries (STECF). In the case of fish processing it becomes available later. 
Indicator 2: Profitability of the EU fishing fleet by fleet segment 

Baseline 
2012 

2014 

Milestones foreseen 
2016 

2015 

Net profit margin of the 
EU fishing fleet: average 
6%. 
By main segment category: 
- small scale fleet 8.0% 
- large scale fleet 5.3% 
- long distant water fleet 
5.6% 

Average EU fishing 
fleet 11% 
By main segment 
category: 
- small scale fleet 4% 
- large scale fleet 8% 
- long distant water 
fleet 24% 

Actual results 

Average EU fishing fleet 
11% 
By main segment category: 
- small scale fleet 10% 
- large scale fleet 12% 
- long distant water fleet 6% 

* 

2018  2019 

Target 2023 

2017 
Net profit margin of 
the EU fishing fleet: 
average 6-9%. 

Net profit margin 
of the EU fishing 
fleet: average 10-
12%. 

*The data is made available for fishing fleet and aquaculture in the month of August of year N+2 after the approval of the Scientific Technical and 
Economic Committee for Fisheries (STECF). In the case of fish processing it becomes available later 
Indicator 3: Fuel efficiency of fish capture 

Baseline 
2011 

Ratio catches to fuel 
consumption: ca. 2.05 kg 
of fish for 1 litre of fuel 326 

Milestones foreseen 

2014 

2015 

2016 

2017 
Reduce fuel 
consumption by 5% 

2.20 kg fish/ 1 litre 

2.15 kg fish/ 1 litre 

* 

Actual results 

2018 

2019 

Target 2023 

Reduce fuel 
consumption by 10% 

*The data is made available for fishing fleet and aquaculture in the month of August of year N+2 after the approval of the Scientific Technical and 
Economic Committee for Fisheries (STECF). In the case of fish processing it becomes available later. 
Indicator 4: Volume of discards of commercially exploited species 

Baseline 
2010 

23% of the catches is 
discarded 

2014 

2015 
21% 

2016 

2017 
10% 

2018 

2019 
Max 5% 

Milestones foreseen 

* 

* 

* 

Actual results 

Target 2023 

Discarding 
eliminated, and 
unwanted catches 
reduced 

* MS report annually to the Commission on the implementation of the landing obligation. The first reports were received early 2016 and covered 
the  implementation  of  the  landing  obligation  in  2015;  the  second  reports  were  received  early  2017  covering  2016.  So  far  MS  reports  do  not 

326 These values are an approximation varying on the fishing techniques used (from 0.2 to 5 litres per kg of fish). 

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contain sufficient quantified information to assess progress on the elimination of discards. The Commission raised this issue several times with 
MS  and  encouraged  them  to  provide  more  precise  information  on  discards.  The  third  MS  reports  have  not  been  received  yet,  the  deadline  for 
submission being end February 2018. In parallel, the Commission has conducted inspection missions in several MS to assess the enforcement of 
the Landing Obligations and the findings will feed into the revision of the control regulation, which is currently ongoing. 
Indicator 5: Value of aquaculture production in the EU 

Baseline 
2013 

EUR3,85billion 

Milestones foreseen 

2014 

2015 

2016 

2017 
+2.25% annual growth 
compared to 2016 

3.89* 

4.13* 

Actual results 

2018 

2019 

Target 2023 

At least + 27% 
compared to the 
baseline 2013 

* Latest figures from Eurostat, update 16/01/2018, code: tag00075.  
Indicator 6: Relative value or volume of products placed on the market by Producers Organisations (POs), associations of POs or 
inter-branch organisations 

Member 
States 

Baseline 

% 
production 
in value 

BEL 
DNK 
DEU 
EST 
IRL 
GRC 
ESP 
FRA 
HRV 
ITA 
LVA 
LTU 
NLD 
POL 
PRT 
ROM 
SWE 
GBR 

100 
85 
45 
76 
70 
0,01 
57 
43 
0 
76 
90 
66 
100 
71 
58 
17 
79 
75 

Value of 
production 
placed on 
the market 
by POs (ink 
euros) 
73.100 
285.235 
176.419 
1.900 
171.426 
45 
1.342.243 
653.288 
0 
165.468 
8.794 
317.916 
419.723 
46.080 
146.826 

11.713   

776.649 
424.665 

BEL 
DNK 
DEU 
EST 
IRL 
GRC 
ESP 
FRA 
HRV 
ITA 
LVA 
LTU 
NLD 
POL 
PRT 
ROM 
SWE 
GBR 

BEL 
DNK 
DEU 
EST 
IRL 
GRC 
ESP 
FRA 
HRV 
ITA 
LVA 
LTU 
NLD 
POL 
PRT 
ROM 
SWE 
GBR 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen* 

Target 2023 

75.100   
293.235   
178.619   
2.300   
191.426   
79.359   
1.440.851   
677.288   
8.000   
197.646   
8.794   
322.916   
420.023   
51.380   
166.826   
12.070   
777.389   
441.165   

73.700   
287.635   
177.079   
2.020   
177.426   
23.839   

73.500   
286.835   
176.859   
1.980   
175.426   
15.908   

73.300   
286.035   
176.639   
1.940   
173.426   
7.976   

74.100   
289.235   
177.519   
2.100   
181.426   
39.702   

73.900   
288.435   
177.299   
2.060   
179.426   
31.771   

74.300   
290.035   
177.739   
2.140   
183.426   
47.633   
1.352.104    1.361.965    1.371.825    1.381.686    1.391.547    1.401.408   
667.688   
4.444   
184.775   
8.794   
320.916   
419.903   
49.260   
158.826   
11.927   
777.093   
434.565   

662.888   
2.667   
178.339   
8.794   
319.916   
419.843   
48.200   
154.826   
11.856   
776.945   
431.265   

658.088   
889   
171.904   
8.794   
318.916   
419.783   
47.140   
150.826   
11.785   
776.797   
427.965   

665.288   
3.556   
181.557   
8.794   
320.416   
419.873   
48.730   
156.826   
11.892   
777.019   
432.915   

655.688   
0   
168.686   
8.794   
318.416   
419.753   
46.610   
148.826   
11.749   
776.723   
426.315   

660.488   
1.778   
175.121   
8.794   
319.416   
419.813   
47.670   
152.826   
11.820   
776.871   
429.615   
Actual results** 
73.100   
285.235   
176.419   
1.900   
171.426   
45   
1.342.243    1.342.243    1.342.243   
625.280   
653.288   
0   
0   
165.468   
165.468   
8.794   
8.794   
331.816   
318.126   
419.723   
419.723   
46.080   
46.080   
146.826   
146.826   
11.713   
11.713   
776.649   
776.649   
424.665   
424.665   

653.288   
0 
165.468   
8.794   
316.791   
419.723   
46.080   
146.826   
11.713   
776.649   
424.665   

73.100   
285.235   
176.419   
1.900   
171.426   
45   

73.100   
285.235   
176.419   
1.900   
171.426   
45   

*   Source: EMFF operational programmes.  Milestones are a linear extrapolation from the targets set for 2023 
** Source: EMFF annual implementation reports 2017 as of 4 September 2017 where first comprehensive set of results were reported. These 
reports cover the first 3 years of implementation of the measure. 
Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Conservation, reduction of the fishing impact on the marine environment and fishing 
adaptation to the protection of species (UP1-SO1-measure 3) 
Energy efficiency, mitigation of  climate change (UP1-SO5-measure 3) 
Productive investments in aquaculture (UP2 SO2-measure 1) 
Limiting the impact of aquaculture on the environment (UP2-SO4-measure 1) 
Producers  organisations  or  associations  of  producers  organisations  supported  for 
production and marketing plans (UP5- SO1-measure 1) 
Processing projects (UP 5- SO2-measure 1) 
Total 

11 06 60 

Target 2023: 282 

Target 2023: 765 
Target 2023: 4 802  
Target 2023: 1 252 

Target 2023: 256 

Target 2023: 1 928 

200.9 

200.9 

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Based on the total EMFF allocation for the above mentioned measures as per the EMFF annual implementation reports due by the end of May 
2016 (970 EUR Million for the whole programming period). The annual EMFF contribution is calculated in proportion to the EMFF tranche in the 
annual budget. 

Outputs 

Conservation, reduction of the fishing impact on 
the marine environment and fishing adaptation 
to the protection of species 

Energy efficiency, mitigation of  climate change 

Productive investments in aquaculture 

Limiting the impact of aquaculture on the 
environment 
Producers organisations or associations of 
producers organisations supported for 
production and marketing plans 

2014 
NA 

0 

NA 
0 
NA 
0 
NA 
* 
NA 

0 

F 

P 

F 
P 
F 
P 
F 
P 
F 

P 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 

2016 
NA 

2018 
NA 

2015 
NA 

2019 
NA 

0 

NA 
0 
NA 
 1 
NA 
19 
NA 

2 

114 

NA 
2 
NA 
57 
NA 
21 
NA 

34 

* 

NA 
* 
NA 
* 
NA 
* 
NA 

* 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

NA 

2020 
NA 

NA 

NA 

NA 

NA 

Processing projects 

F 
P 
* Data on selected operations for funding in 2017 to be sent by MS to the Commission by 31 March 2018 

NA 
* 

NA 
65 

NA 
1 

F 
P 

NA 

NA 

NA 

Specific  Objective  2: Fostering  the  development  and  implementation  of  the  Union's  Integrated  Maritime  Policy  in  a 
complementary manner to Cohesion policy and to the Common Fisheries Policy 
Indicator 1: Marine knowledge 2020 initiative: Degree of use of the European Marine Observation and Data Network (EMODnet) 
measured by the number of users downloading data 

Baseline 
2014 

1 212 unique visitors per 
month to the central portal. 

Milestones foreseen 

2014 

2015 

2016 

2017 
5 000  

1 234 

2 645 

4 967 

14 916 

Actual results 

2018 

2019 

Target 2020 

17 000 unique visitors 
per month. 

Indicator 2: Maritime  Surveillance: Percentage  of available  cross-sectorial and/or cross-border data, as a percentage  of the total 
information gap identified in the Impact Assessment on CISE (Common Information Sharing Environment) 

Baseline 
2013 

2014 

2015 

2016 

2017 

Milestones foreseen 

0% of the data gap closed. 

Actual results 

No quantifiable 
results 

No quantifiable 
results 

No quantifiable 
results 

No 
quantifiable 
results 

2019 

Target 2020 

Between 20% and 
40% of the data gap 
closed 

2018 
Between 10% 
and 20% of the 
data gap closed  

CISE review is 
expected to 
provide a clearer 
indication of this 
measurement 

*The relevant information for calculating this indicator is not available. In order to objectively measure this indicator, a large-scale assessment is 
necessary to monitor the progress of all EU and MS systems implemented via CISE. It is planned to perform an overarching review of the CISE 
process in 2018 which should touch on this aspect. 
Indicator  3: Percentage  of  the  surface  area  of  marine  waters  conserved  through  spatial  protection  measures  in  the  context  of 
Article 13.4 of MSFD 

Result 
2012 
In the Exclusive Economic Zone, 
coverage of 5,9%.  
In the 0-12 nm zone, coverage of 
10% of the surface has been 
exceeded in some marine regions or 
sub-regions (Baltic sea, Greater 
North Sea, West Mediterranean). 

2014 

2015 

Milestones foreseen 
2016 

2017 
Exclusive 
Economic Zone: 
coverage of 8%*   

Actual results 

n.a. 

n.a. 

10.8% 

* 

2018 

2019 

Target 2020 

Coverage (including all 
different kinds of 
protected sites) of 10% of 
surface in the Exclusive 
Economic Zone, 20% in 
the 0-12 nm zone 

Source:http://icm.eionet.europa.eu/ETC_Reports/SpatialAnalysisOfMarineProtectedAreaNetworksInEuropesSeas_VolumeA_2017/SpatialAnalysi
sMPANetworks_v1.5.pdf 
* Data will be available at a later stage 

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7.4 

25.7 

4.8 

4.4 
47.3 

2020 
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Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number  EUR million 

1. Number of contracts concluded to construct European Marine Observation and Data Network 
(EMOD net) 
2. Actions supporting the exchange of information flows relevant to the 'Common Information Sharing 
Environment (CISE) for the surveillance of the EU maritime domain'. 
3.Actions supporting the development of the Blue Economy in European Sea Basins (studies, pilot 
project, business cases) 
4. Studies, pilot projects and expert support for the implementation of Maritime Spatial Planning in 
Member States and across European sea basins 
5.Actions supporting the implementation of Marine Strategy Framework Directive(MSFD) 
Total 

11 06 61 

11 06 61 

11 06 61 

11 06 61 

11 06 61 

4 

9 

10 

7 

5 
35 

Outputs 

Number  of  contracts  concluded  to  construct 
EMOD net 

Actions supporting the exchange of information 
flows relevant to the CISE for the surveillance 
of the EU maritime domain. 

2014 
6 
5 

2 

F 
P 
F(direct 
management) 
F(shared 
management) 
P 
F 

Number of outputs foreseen (F) and produced (P) 
2017 
4 
8 

2016 
8 
4* 

2018 
6 

2015 
6 
3 

2019 
8 

2 

13 

12 

12 

6 

5 

Actions in 23 MS throughout the programming period 

12 
2 

3 
2 

4 
2 

8 
15 

7 

P 

Actions supporting the development of the Blue 
Economy in European Sea Basins (studies, pilot 
project, business cases) 
Studies,  pilot  projects  and  expert  support  for 
implementation  of  Maritime  Spatial 
the 
in  Member  States  and  across 
Planning 
European sea basins 
Actions supporting 
the implementation of MSFD 
*  The  difference  between  produced  and  foreseen  outputs  are  due  to  the  fact  that  in  the  years  2014-2015  more  emphasis  was  laid  on  the 
implementation of actions related to marine knowledge and cross-sectoral tools (such as CISE) whereas from 2016 the emphasis shifted towards 
the blue economy (blue growth).  

5 
7* 

F 
P 

5 
8 

5 
4 

5 
5 

16* 

12 

6* 

F 

P 

6 

8 

3 

5 

5 

5 

5 

5 

5 

5 

0 

7 

5 

5 

2 

5 

5 

Specific Objective 3: Promoting a balanced and inclusive territorial development of fisheries and aquaculture areas 
Indicator 1: Employment created/maintained in the fisheries and aquaculture sectors with support from the EMFF 

Baseline 

Employment created 
0 

Employment maintained 
- 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

* 

* 

* 

* 

Actual results 

500* 

Actual results 

4 503* 

Target 2023 

4.624 

26.550 

* The figures come from the reports based on Article 97(1) of the EMFF Regulation and reflect the situation as of 31 December 2016.  
Indicator 2: Number of local strategies selected by Fisheries Local Actions Groups (FLAGs) 

Baseline 
2012 

0 

2014 

2015 

2016 

2017 
276 

2018 

2019 

Milestones foreseen 

Actual results 

No data 

No data 

277 

356* 

Target 2020 

276 The target is to 
keep approximately 
the status quo 
compared to the 
milestone since there 
will be some 
evolution and 
merging with Leader 
in some MS 

* Figures provided by FARNET Support Unit.  Information not yet available from AIRs. This figure may increase as a result of legal proceedings 
by some FLAGs contesting selection. 

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Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

Number of operations supported by the Fisheries Local Actions Groups 
* This figure is based on the average number of operations selected per year by FLAGS active under the EMFF  
** Latest data from the AIR. 

11 06 60 

1 700* 

72.2** 

Outputs 

Number of operations supported by the Fisheries 
Local Actions Groups 

F 
P 

2014 
NA 
0 

Number of outputs foreseen (F) and produced (P) 
2017 
NA 
358 

2016 
NA 
220 

2018 
NA 

2015 
NA 
0 

2019 
NA 

2020 
NA 

Specific Objective 4: Fostering the implementation of the Common Fisheries Policy 
Indicator  1: Number  of  apparent  infringements  of  CFP  rules  by  operators  found  in  the  framework  of  joint  deployment  plans 
(JDPs) divided by the number of inspections conducted 

Baseline 
2012 

Number of apparent  
infringements/number of 
inspections (ratio): 18 % 

2014 

2015 

2016 

2017 
15 % 

2018 

2019 

Milestones foreseen 

5.38% 

4.11% 

3.49% 

4.00% 

Actual results 

Target 2020 

10 % 

Indicator 2: Number of Member States with an effective control system 

Baseline December 2013 

Number of Member States 
under an action plan to 
overcome shortcomings in 
their fisheries control 
system: 6 

Milestones foreseen 

2014 

2015 

2016 

2017 
Max. 5 
Member 
States are 
under an 
action plan. 

6 

9 

Actual results 
9 

13* 

2018 

2019 

Target 2020 

No Member States are 
under an action plan 
meaning that all 
Member States have 
an effective control 
system. 

* It is expected that 12 action plans will be closed before the end of 2018 and the remaining one in 2019. It is likely that 5 new action plans will be 
established in 2018. 
Indicator 3: Proportion or number of stocks that are fished at MSY levels 

Baseline 2013 

Latest known results 

In 2015, ~51% of the TACs (volume) in the 
North-East Atlantic and adjacent waters had 
a scientific advice on MSY. 

Average fishing mortality compared to MSY 
values (=1 for F=FMSY), for stocks in the 
Mediterranean and Black Seas. Based on 
Figure 4.3 and Table 4.2 of STECF-17-04, as 
updated by STECF 54th Plenary Meeting 
Report. 

According to the latest available information 39 out of 66 assessed 
fish stocks in the North-East Atlantic and adjacent waters are fished 
at or below the rate corresponding to MSY. In the Mediterranean 
and Black Seas stocks are on average fished between 2 and 3 times 
the rate corresponding to MSY. In 2017, the number of stocks 
assessed was 60 and this represents a small proportion of the total 
number of stocks. The most recent analysis of the stocks where 
MSY assessments are available shows that only 7 stocks were 
assessed as being above MSY.  
No interim milestones have been set in EU legislation. 

Target: by 2020 at the 
latest 

Exploitation at MSY 
rate for all commercially 
exploited stocks. 

Target set by Article 2 
of Regulation (EU) No 
1380/2013 of the 
European Parliament 
and of the Council of 11 
December 2013 on the 
CFP 

Indicator 4: Degree of adequate responses to data calls under the data collection framework (100% minus failures to deliver the 
full data set required) 

Baseline 
2010 

92 % 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
96 % 

2018 

2019 

Actual results 

100 % 

91% 

81% 

79¨% 

Expenditure related outputs 

Outputs 

Projects related to the establishment and validation of databases on control 
Number of vessels equipped in new  control technologies (CCTV and electronic devices) 
or subject to measurement of engine power 
Projects on traceability of all fisheries products 
Support  to  operational  costs  incurred  in  the  context  of  Specific  Control  and  Inspection 
programs or coordinated control deployments or in the context of action plans 
Number of studies related to CFP 

Budget line 

11 06 60 

11 06 60 

11 06 60 

11 06 60 

Draft Budget 2019 

Number 

EUR million 

Target 2023:  
1 047* 

83.0* 

11 06 62 01 

16 

5.3 

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Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

11 06 60 

Support to the national programmes for collection of biological, technical, environmental 
and socio-economic data  concerning the fisheries sector 
Grants  to  Regional  fisheries  management  organisations  (RFMOs)and  other  International 
Bodies  needed  to  achieve  their  objectives  of  sustainable  development  of  fisheries 
resources  and  sustainable  ocean  governance  through,  inter  alia,  funding  of  capacity 
building and scientific research 
Grants  to  Advisory  Councils,  allowing  them  to  provide  advice  to  the  Commission  and 
Member States 
4.1 
Operational fully-fledged Market Observatory 
Total 
185.5 
* The related data for the different outputs (as shown in the table above) is not made available to the Commission by the MS. Therefore, a target 
to be achieved by end of 2023 has been shown. The target in the operational programmes relates to the number of projects in the area of control to 
be implemented by end of 2023. The operational programmes do not split the target across the different outputs.  
** This figure is based on the total EMFF allocation to this Union Priority in the EMFF OPs. The annual EMFF contribution is calculated in 
proportion to the EMFF tranche in the annual budget. 

11 06 62 04 

11 06 62 03 

11 06 62 05 

76.3** 

13.6 

3.3 

27 

30 

11 

1 

Outputs 

2014 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2015 

2019 

2020 

F 

5 180 

4 446 

4 944 

6 954 

7 734 

8 974 

10 224 

to 

in  new  control 

the  establishment  and 

Projects  related 
validation of databases*  
Investments 
(number of vessels equipped)*  
Projects  on 
products*  
Support  to  operational  costs  incurred  in  the 
context  of  Specific  Control  and  Inspection 
programs or coordinated control deployments*  

traceability  of  all 

technologies 

fisheries 

Number of studies related to CFP  

to 

and 

socio-economic 

for 
technical, 
data  

the  national  programmes 
biological, 
of 

Support 
collection 
environmental 
concerning the fisheries sector  
Grants  to  RFMOs  needed  to  achieve  their 
objectives  of  sustainable  development  of 
fisheries  resources  through,  inter  alia,  funding 
of capacity building and scientific research  

Grants to  Advisory Councils, allowing them to 
provide advice to the Commission and Member 
States  

Operational fully-fledged Market Observatory  

P 

0 

33* 

85* 

F 
P(direct 
management 
only) 
F 

P 

F 
P(direct 
management 
only) 
F 
P(direct 
management 
only) 
F 
P(direct 
management 
only) 

12 

8 

27 

27 

16 

16 

11 

7 

1 

1 

8 

7 

27 

27 

24 

30 

11 

7 

1 

1 

18 

9 

27 

27 

32 

34 

11 

10 

1 

1 

** 

14 

9 

27 

27 

32 

25*** 

11 

11 

1 

1 

16 

16 

18 

27 

27 

27 

32 

32 

32 

11 

11 

11 

1 

1 

1 

* Since the transition of this funding from direct management to shared management, the related data for the different outputs (as shown in the 
table above) have not been made available to the Commission by the MS.  Slow uptake accounts for the low level of actual outputs. Compared to 
DB2018 forecast figures for respective outputs were added up and reported as a single number per year because the Commission cannot report on 
the respective outputs due to the lack of detailed data.  
 ** The information concerning outputs for 2017 is not yet available and is only due mid-2018.  As in previous years, only a single figure can be 
given. 
*** Some projects were put together in one single grant agreement.     

5. Programme contribution to the Sustainable Development Goals 

The  main  objective  of  the  EMFF  is  to  support  the  implementation  of  the  Common  Fisheries  Policy  (CFP)  and  the  Integrated 
Maritime  Policy  (IMP,),  thereby  contributing  first  and  foremost  to  SDG  14  (Conserve  and  sustainably  use  the  oceans,  seas  and 
marine  resources  for  sustainable  development).  In  addition,  the  EMFF  also  contributes  to  SDG  1  (End  poverty  in  all  its  forms 
everywhere), by: contributing to the improvements of the economic results of the EU fisheries sector, and to the improvements of 
the living standards of the coastal populations which depend on that sector; allowing operators to modernise their productive tools, 
to diversify their sources of income or to switch to alternative economic activities. 
By promoting the conservation of the marine living resources and the protection of the marine ecosystem, the EMFF contributes to 
the sustainability of the production of the EU fisheries sector of healthy quality food, and thus to SDG 2 (End hunger, achieve food 
security and improved nutrition and promote sustainable agriculture) and SDG 3 (Ensure healthy lives and promote well-being for 
all at all ages). 

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Finally the EMFF can contribute to lifelong education and training (thereby contributing to SDG 4. Ensure inclusive and equitable 
quality education and promote lifelong learning opportunities for all) in particular for the life partners of the fisheries operators and 
of the members of their coastal communities (thereby contributing to SDG 5. Achieve gender equality and empower all women and 
girls). 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 
Member States  have  the flexibility to contribute resources  from programmes to  financial instruments  set  up at  national,  regional 
level and managed by or under the responsibility of the managing authority. So far one financial instrument has been set up and a 
second will be set up by mid-2018 using EMFF in two Member States. 

7. Programme related additional information 
Programmes' implementation 2014-2020 (Common Strategic Framework)* 

Thematic objectives of the Common Strategic Framework 

3.Enhancing the competitiveness of small and medium-sized enterprises 
Outputs: 
4.Supporting the shift towards a low-carbon economy in all sectors 
Outputs: 
6.Preserving and protecting the environment and  promoting resource efficiency 
Outputs: 
8.Promoting sustainable and quality employment and supporting labour mobility 
Outputs: 
TOTAL 

Commitments(1) 
2014-2020 
EUR million (1) 

Cumulative payments 
declared by Member-S at 
end 2016 (2)** 

(2)/(1)  
% 

2 596,7 

115 

2 159,4 

586,6 

5 457,7 

208.4  3.8% 

208.4  3.8% 

*The data presented cover all adopted MS' Partnership Agreements, as well as all operational programmes.  
** In EMFF payment applications submitted by the MS there is no requirement to report on the amounts spent with regard to a given thematic 
objective. The amounts spent are reported by the MS at the level of priorities that might be made up of several thematic objectives. Information on 
the amounts spent by the MS with regard to the thematic objectives is therefore not available. 

Ex-post evaluation of the EFF 
The ex-post evaluation of the EFF 2007-2013 was completed with the publication of the Staff Working Document327 in July 2017. 
It  concluded  that  the  2007-13  EFF  OPs  were  implemented  in  a  challenging  context  marked  by  the  deep  global  economic  and 
financial  crisis,  but  also  by  the  need  to  build  the  economy,  infrastructure  and  administrative  capacity  of  13  new  Member  States 
joining from 2004 onwards and for whom this was the first full programming period.  
  At  the  end  of  the  EFF  period,  the  objective  of  adapting  the  EU  fishing  fleet  capacity  to  fishing  opportunities  was  met  to  a 
certain extent thanks to EFF support. Over-capacity remains in certain fleet segments and further adjustment of the fleet could 
be finalised during the 2014-2020 programming period. 
Inland  fishing  and  small  scale  fishing  vessels  (SSCF)  were  not  sufficiently  targeted  by  EFF  investments  and  should  benefit 
from more attention in the 2014-2020 period. 

 

 

  Despite substantial investments in the aquaculture sector, the EU aquaculture production stagnated over the EFF period. This 
was due to the financial crisis but also to a lack of strategic targeting of the investments on new market potential. This has been 
addressed in the 2014-2020 period. 
Investments in processing and marketing led to maintaining and creating jobs, but also contributed to the modernisation of the 
industry. 
Investments  in  fishing  ports,  landing  sites  and  shelters  support  the  competitiveness  of  the  fisheries  sector,  safer  working 
conditions and a better quality of life for fishing communities. 

 

  Community-Led  Local  Development  helped  fisheries-dependent  communities  to  diversify  the  economic  basis  of  their  area, 

which led to maintaining and creating jobs.  

  The ex-post exposed the weaknesses of the monitoring system, which has been addressed by the inclusion of a new Common 

Monitoring and Evaluation System for the EMFF. 

The synthesis of the interim evaluation of the 27 EFF OPs conducted by the MS (2011) assessed very positively the relevance, 
effectiveness and efficiency of the EFF and of its implementation. This was confirmed by the ex-post evaluation of the EFF which 
provided information on the extent to which the EFF did actually contribute to these objectives thus generating EU added value. 

327 SWD(2017) 276 final of 13.07.2017 

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HEADING 2: Sustainable growth: natural resources 

Programme for the Environment and Climate Action (LIFE) 
Lead DG: ENV 
Associated DGs: EAC, CLIMA 

I. Programme Overview 

What the programme is about ? 

Launched  in  1992,  LIFE  is  the  only  EU  programme  exclusively  dedicated  to  the  environment,  nature  conservation  and  climate 
action, all areas of growing public concern. Because of its limited size (0,3% of the EU budget), the LIFE programme is not meant 
to solve environmental and climate problems. Rather, it is meant to act as a catalyst for developing and exchanging best practices 
and knowledge. The programme’s role is to build  up and  improve capacity, speed up  the implementation of EU legislation, and 
help private players, in particular businesses, to test small-scale technologies and solutions, and leverage other funds.   
LIFE activities are aimed in particular to target resource efficiency, including circular economy, to protect nature and biodiversity, 
to improve the quality of waters and air and the use of chemicals, to prevent the negative effects of noise, to mitigate emissions and 
to adapt to climate change. 

EU added value of the programme 

Compared with action at national level, the LIFE programme ensures: 

  More  effective  knowledge-sharing.  LIFE  is  an  EU  platform  to  exchange  practices  and  knowledge  on  implementing  EU 
legislation and policies (e.g. by financing peer reviews, by coordinating cooperation between judges, by pooling resources and 
expertise, etc.). It enables players across the EU to learn from each other’s experience in addressing specific environmental and 
climate problems more effectively and efficiently (e.g. by making more green technologies available and known, by financing 
capacity building, research, information and data gathering). 

  Strengthening of solidarity and better responsibility sharing. . Environmental assets are often of a public good nature and are 
unevenly distributed across the EU328. By assisting Member States that have the most valuable EU natural capital, LIFE allows 
for a better solidarity and for sharing responsibility in preserving the EU environmental common goods. 

  Better response to trans-boundary or transnational environmental problems, which cannot be adequately addressed by Member 
States acting alone: for example, by bearing the costs of the preparatory  meetings of international conferences (i.e. the Paris 
agreement), LIFE has helped reaching important commitments at international level on the environment/climate and avoiding 
coordination failures. 

 

Increased coherence of EU environmental and climate  legislation and policies through the definition of common targets and 
policies and legislation developments. LIFE also assists Member States in progressing towards these common targets through 
positive  incentives  (i.e.  by  financing  peer  reviews,  helping  to  enforce  environmental  and  climate  legislation  and  policies  in 
Member States, etc.) and negative incentives (fines imposed by legislation on e.g. such as CO2 emissions from cars).  

  The  EU  added  value  of  the  LIFE  programme  has  been  also  confirmed  by  the  2017  mid-term  evaluation,  where  the 
overwhelming  majority  of  the  respondents  of  the  public  consultations  confirmed  that  the  programme  has  an  important  EU 
added value because it: 

 

 
 

 
 

responds  to  European  and  global  environment  and  climate  challenges,  which  are  unlikely  to  be  addressed  by  a 
Member State alone (98 % of respondents); and supports the coherent development, implementation and enforcement 
of EU environment and climate policy and legislation, (98 % of respondents); 
tackles environmental and climate problems more efficiently (98 % of respondents); 
preserves EU environmental resources which, even if unevenly distributed across the EU, benefit the EU as a whole 
(94 % of respondents); 
helps to leverage the funds for environmental protection and climate action (97 % of respondents); 
contributes to EU-wide sharing of ‘best practices’, knowledge transfer, demonstration, and awareness raising (99 % of 
respondents). 

II. Programme Update 

Implementation Status (2014/2017) 

Following the calls for proposals launched from 2014 to 2016 for traditional projects, about 4 000 proposals were received leading 
to the financing of 435 (grant) projects. The call for proposals launched in 2017 is on-going. Considering that the average duration 
of these  projects is four to five  years, only  very  few projects  will be fully implemented by end 2017, thus  making it difficult to 
assess results at this early stage.  

328

   Article 8 of the Habitats Directive explicitly links the delivery of conservation measures to the provision of EU co-financing. 

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More than 560 project applications for traditional projects focusing on climate action objectives have been received during the first 
four years of programme implementation, and about 100 were co-financed following the first three calls for proposals (2014, 2015 
and 2016). 

For the integrated projects the demand is higher than expected: out of 100 concept notes received, 23 projects could be financed in 
14 different Member States.   

According  to  the  proposals  received,  for  a  total  financing  of  EUR  251.7  million,  the  integrated  projects  should  facilitate  the 
coordinated use of about EUR 5,7 billion in total. For each euro the LIFE programme finances, it is expected that a further 22 euros 
will be financed from other sources for environment and climate objectives. 

Two innovative financial instruments were established at the end of 2014: 

 

 

the Natural Capital Financing Facility (NCFF), conceived to provide loans and investments in funds to support projects which 
promote  the  preservation  of  natural  capital,  including  adaptation  to  climate  change.  This  represents  an  innovation  which,  if 
successful, could drive the architecture of natural capital financing across the world, and 

the  Private  Finance  for  Energy  Efficiency  (PF4EE)  aimed  at  addressing  the  limited  access  to  adequate  and  affordable 
commercial financing for energy efficiency investments. 

Key achievements 

Since the  first actual results are  expected only in 2019-2020, the  mid-term evaluation  which  was  finalised in 2017, analysed the 
values of the anticipated results of the projects awarded in 2014 and compared them with the milestones indicated as target for 2017 
in the first MAWP. 
Based on their anticipated results, the 2014 projects329 already achieve 70% of the milestones included in the first MAWP330. 

According to the results of the mid-term evaluation, the anticipated results of the on-going projects are expected to contribute to the 
shift  towards  a  resource  efficient,  low  carbon  and  climate  resilient  economy  and  to  the  protection  of  the  environment  including 
biodiversity and Natura 2000 by, inter alia: 

improving the conservation status of 59 habitats, 114 species and 85 Natura 2000 sites spread on over 17 million hectares; 
reducing adverse effects of chemicals on health and environment for about 1.6 million people over five years; 
reducing energy consumption (about 600 000 MWh/year) by best practice solutions; 
increasing the production of energy from renewable sources (about 500 000 MWh/year from different sources); 
equipping  35  million  hectares  with  climate  adaptation  measures,  as  well  as  developing  best  practice  solutions  for 
adaptation in various areas. 

Although  final  results  from  integrated  projects  are  not  yet  available  at  this  early  stage  of  implementation,  preliminary  evidence 
shows that some of them are having an important catalytic effect on the ground, i.e. one of the  strictest regulations for solid fuel 
boilers in the EU was adopted unanimously in the Malopolska region in January 2017 as a result of a LIFE integrated project and 
other  regions  in  Poland  (Marshals  in  Silesia,  Lower  Silesia,  Mazovia,  Lodzie  and  Opolskie)  announced  plans  to  adopt  similar 
regulations. 
The high level of demand for projects coupled with the relatively low level of co-financing331 compared with other programmes, 
underlines  the  continued  interest  in  LIFE  and  its  capacity  to  address  existing  needs.  The  wide  range  of  beneficiaries  of  LIFE 
projects demonstrates that the programme is capable of addressing different demands and attracting a wide range of stakeholders of 
climate/environmental policies.   

Evaluation/studies conducted  

The mid-term evaluation came at an early stage of the programme’s implementation and therefore focussed mainly on the processes 
put  in  place  to  reach  the  programme’s  objectives  and  on-going  activities.  Still,  it  provides  reasonable  assurance  that  the 
programme’s  implementation  is  on  the  right  track  and  that  the  LIFE  programme  is  relevant,  is  fulfilling  its  objectives  and  is 
contributing to EU environment and climate policy and legislation. 

In  terms  of  effectiveness,  the  results  of  the  mid-term  evaluation  concluded  that  the  LIFE  programme  is  well  placed  to  meet  the 
stated targets and deliver on environmental and climate objectives, thus contributing to the Europe 2020 strategy. 

This is confirmed by the anticipated results of the 2014-2016 projects which –when fully met - would exceed most of the values 
envisaged by the 2017 milestones. The 2017 milestones  would therefore have underestimated the potential of the LIFE projects.  
This could be linked to two main reasons:  

1. 

the conservative approach, which was adopted at the time of the definition of the milestones: amongst others, the bottom up 
approach used for the selection of projects makes it difficult to estimate the number of projects which would be proposed and 
selected to address each priority.  

329   Only the data related to the anticipated results of the projects of the call for proposals 2014 had been validated at the time of the evaluation. 
330   The targeted milestones are considered to being achieved if the difference between the actual results and the milestone value is ≤ 5% of provisional results.  
331    LIFE finances a maximum of 60 % of eligible costs for all projects for the duration of the first multiannual work programme (MAWP 2014-2017). This rate 
will be reduced to 55 % in the second MAWP (2018-2020). Exceptions will be made for the nature and biodiversity projects for priority habitats or species (up to 
75 %) and capacity-building projects (up to 100 %).  

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2. 

the anticipated results of the selected projects are particularly promising given the hard competition to get financing because of 
the high number of good proposals. Only the best, outstanding, projects get selected. 

The new features introduced by the LIFE Regulation — especially the sub-programme devoted to climate action and the integrated 
projects — are seen to respond to existing needs and to improve the programme’s effectiveness. 

The  evidence  gathered  in  the  recently  finalised  evaluation  of  the  Birds  and  Habitats  Directives  (fitness-check)  confirmed  the 
strategic  role  that  the  LIFE  programme  plays  in  supporting  the  Directives’  implementation.  The  mid-term  review  of  the  EU 
biodiversity strategy to 2020 further concluded that ‘the LIFE programme remains a small but highly effective funding source for 
nature and biodiversity’. 

In order to provide elements for the analysis of the efficiency of the programme, the mid-term evaluation made an estimate of the 
value for money of the anticipated results of some of the on-going LIFE projects related to the 2014 call for proposals. In particular 
it  estimated  the  societal  benefits  derived  from  the  conservation  of  17  million  hectares  of  existing  Natura  2000  sites  and  the 
reduction  of  489  000  tonnes  of  CO2  (including  methane  and  the  reduction  of  electricity  consumed)  based  on  the  Social  Cost  of 
Carbon (SCC) approach332 and calculated the quota attributable to the LIFE co-financing (i.e. 75% for Nature projects and 60% for 
Climate Change Mitigation projects on the basis of the related EU co-financing rates).  

On the basis of this estimate, the benefits derived from the LIFE 2014 financing for the conservation of Natura 2000 sites would 
reach EUR 1.5 billion and the ones from the reduction of CO2 would lead to a benefit of EUR 0.2 billion to society. 

The relevant projects selected under the 2014 call for proposals would therefore contribute to a total societal benefit of EUR 1.7 
billion, which would represent four times the cost of the overall LIFE budget for 2014 (EUR 405 million). 

In terms of utilisation of  funds in the  projects, the  results  of ex-post controls on  LIFE+ and on-site  monitoring of LIFE projects 
shows that the ‘error rate’ — namely the amount that is considered at risk — is well below the materiality threshold of 2 % and is 
declining: it was EUR 2.27 for every EUR 100 spent in 2012, falling to EUR 1.24 in 2015 and even further to EUR 0.44 in 2016. 
A recent report333 shows that on average 83 % of projects are sustainable334 after the end of LIFE funding. This analysis is based on 
LIFE+ projects and does not take into account the improvements in the current LIFE programme. Also, responses collected during 
the analysis reveal that for the majority (78 %) there is either good or very good potential for demonstrating and transferring the 
results of LIFE projects. 

The majority of projects analysed in the  mid-term evaluation are planning a follow-up by transferring project activities into new 
entities or projects, new sectors or different geographical areas. As for the related funds, the interviews conducted for the mid-term 
evaluation  of  about  70  project  beneficiaries  revealed  that  40 %  of  them  report  that  they  will/already  have  attract(ed)  funding  to 
further develop project results after the end of EU funding. 

The  mid-term  evaluation  underlined  that  the  procurement  activities  launched  by  the  Commission  to  support  the  development, 
implementation  and  enforcement  of  environmental  and  climate  policy  and  legislation  play  a  key  role  in  achieving  the  LIFE 
objectives, especially because they address all stages of the policy cycle (that might not be covered by demand-led activities). The 
LIFE programme financed, for example, the preparatory and related  tasks (such as the impact assessment, stakeholders' analysis, 
communication, etc.) for the adoption of the circular economy package. The package lays the basis for ‘closing the loop’ of product 
lifecycles by improving recycling and re-use. LIFE also financed work on the set of proposals for ‘Driving Europe’s transition to a 
low-carbon economy’, which aims to accelerate the transition to low-carbon emissions in all sectors of the economy. 

The  results  of  the  public  consultation  undertaken  within  the  framework  of  the  mid-term  evaluation  show  that  an  overwhelming 
majority  of  respondents  (between  94  %  and  99  %)  acknowledges  that  the  LIFE  programme  addresses  environment  and  climate 
action  needs  and  that  the  programme  is  necessary,  in  particular  on  nature  and  biodiversity.  Discontinuing  the  LIFE  programme 
would  reduce  Member  States’  capacity  —  and  in  some  cases  commitment  —  to  pursue  the  EU’s  objectives  on  environmental 
protection  and  climate  action  and  would  affect  related  economic  growth  and  employment.  It  would  also  reduce  the  support  in 
Member States to the development of innovative environmental solutions.  

In  a  recent  opinion335,  the  Committee  of  the  Regions  confirms  the  relevance  of  the  programme  and  acknowledges  that  the  LIFE 
programme  plays  an  important  role  in  developing  new  solutions  in  the  area  of  environmental  protection  and  climate,  promoting 
eco-innovation and building capacity for new instruments such as green infrastructure and nature-based solutions.  

The mid-term evaluation highlighted some aspects for improvement. These are further detailed below.  

The  full  text  of  the  mid-term  evaluation  as  well  as  information  on  the  existing  evaluations  of  the  previous  LIFE  programme  is 
available on line: see http://ec.europa.eu/environment/life/about/index.htm#midterm. 

Forthcoming implementation (2018/2019)  

332 The social cost of carbon calculates the economic cost of the negative consequences of climate change and estimates the damage done by each ton of carbon 
dioxide that is spewed into the air. It is used in cost-benefit analyses to compare the monetary benefits of measures that reduce greenhouse gas emissions with the 
costs of climate change. 
333 Report on LIFE past, present and future contribution to employment and economic growth: LIFE effectiveness and replicability. NEEMO2016. 
334  Sustainability is perceived as the ability to continue or to follow up on the activities performed during the project’s life; i.e. it is the viability of the project after 
the end of LIFE financing — the continuation or follow-up is ensured by the beneficiary itself, its partner or successor.  
335 ENVE-VI/016, Draft Opinion, Mid-term evaluation of the LIFE programme, Committee of the Regions. 121st plenary session, 8-9 February 2017. 

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The second Multiannual Work Programme (MAWP) for the years 2018-2020 was adopted in the beginning of 2018 (see http://eur-
lex.europa.eu/legal-content/EN/TXT/?qid=1518531793134&uri=CELEX:32018D0210). 

As a result of the mid-term evaluation in fact, some areas for improvement have been identified, such as:  

1. Further flexibility in the programme's strategic focus.  
LIFE has supported in the last years the definition, agreement and development of new emerging priorities  – such as the circular 
economy action plan and the  2030 climate  and energy  framework targets,  the  implementation of the Paris  Agreement ratified in 
2016 as well as the EU's adaptation strategy - which, for importance and dimensions, were unknown at the time of the adoption of 
the LIFE Regulation. 

Taking  into  account  the  bottom  up  approach  which  cannot  pre-empt  the  quantity  and  the  quality  of  the  proposals  received,  the 
programme is coping with the dimensions and limitations of the financial envelope, which was defined at the time of adoption  of 
the Regulation, with the risk that not all the objectives and priority areas could be covered adequately by projects.  

The risk exists that the scope of the LIFE Programme priorities is too broad and the budget envelope too small to generate a critical 
mass to trigger change on all the environmental and climate issues. To avoid an excessive dispersion of the scarce resources there is 
the  need  to  further  focus  the  programme's  action  and,  in  particular,  the  grants  which  are  selected  on  the  basis  of  a  bottom  up 
approach.  

2. Simplification in grant management.  
There  is  a  widespread  demand  to  simplify  LIFE  procedures  for  grants.  This  came  through  in  the  interviews  with  project 
beneficiaries undertaken during the mid-term evaluation. 

Some options are at present being tested - such as a two-step award procedure for traditional projects for priority areas where the 
demand is  particularly high, in order to reduce the administrative burden  for unsuccessful applicants or the simplification of the 
project topics and the indicators database -, other possibilities are being studied in the impact assessment – e.g. lump sum and flat 
rate financing, etc.  

3. Further opportunities to increase the programme's effectiveness 
The mid-term evaluation underlined the following opportunities: 
   The network of the National Contact Points (NCP) which provides institutional support to prepare and implement projects is 

appreciated. Nevertheless, some NCPs need to adopt a more proactive approach. 

   The  possibility  to  further  increase  the  project  replicability  and  transferability  by  addressing  the  lack  of  adequate  financial 
resources. A systematic follow-up of all projects and a comprehensive customised support for the most promising ones could 
allow the replication/sustainability potential to further materialise. 

The implementation of the LIFE Programme will focus on business as usual plus adjustments based on the results of the mid-term 
evaluation, that are being addressed in the MAWP for the years 2018-2020 and the adoption of the delegated act for the increase of 
the  percentage  of  nature  and  biodiversity  projects336,  in  view  of  the  finalisation  of  the  ex-ante  impact  assessment  for  a  possible 
LIFE programme post 2020. 

III. Programme key facts and performance framework 
1. Financial programming 

Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on 
the  establishment  of  a  Programme  for  the  Environment  and  Climate  Action  (LIFE)  and  repealing 
Regulation (EC) No 614/2007 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

3 456,7 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

18,2 
381,7 
3,5 
403,4 

5,0 
424,5 
5,6 
435,1 

4,9 
453,4 
4,5 
462,8 

4,9 
483,6 
5,3 
493,7 

4,9 
514,0 
3,9 
522,8 

1,5 

5,1 
543,9 
5,1 
554,1 

1,5 

5,3 
568,7 
5,6 
579,6 

1,5 

Total 
Programme 
48,2 
3 369,8 
33,4 
3 451,4 

4,5 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Of  which  contribution  to  European 
Solidarity Corps 

2. Implementation rates 

336 The results of the ‘fitness check’ evaluation of the EU Birds and Habitats Directives (the ‘Nature Directives’) and the mid-term review of the EU biodiversity 
strategy to 2020, conclude that "the LIFE programme remains a small but highly effective funding source for nature and biodiversity". However substantial financial 
efforts  are  needed  to  improve  their  implementation  and  -  as  underlined  in  the  consultation  activities  undertaken  in  the  framework  of  the  external  study-  LIFE 
remains the only EU programme devoted to nature protection and biodiversity conservation". On this basis, an increase of the ceiling devoted to projects for the 
conservation of Nature and Biodiversity, was adopted. 

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CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

493,737 

99,99 % 

226,394 

97,77 % 

522,797 

1,64 % 

271,101 

11,28 % 

Authorised appropriations (*) 

499,719 

99,98 % 

230,182 

97,76 % 

521,324 

1,64 % 

274,430 

11,65 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
The EU has committed to cut its greenhouse gas emissions by 20%, compared to 1990 levels by 2020. In 2016, EU greenhouse gas 
emissions were already 23% below the 1990 level. According to the latest projections, emissions are expected to be 26% lower  in 
2020 than in 1990. The EU is, therefore, on track to meet its domestic emissions target. 

Contribution to Europe 2020 priorities 

The LIFE programme contributes to the Europe 2020 priorities as follows: 

  All  LIFE  projects  help  to  put  the  EU  on  a  path  to  resource-efficiency  and  sustainable  growth.  These  are  projects  aimed  at 
halting and reversing the  loss of  biodiversity, improving resource efficiency, addressing  environmental and health concerns, 
moving  towards  a  low-carbon  and  resilient  economy  and  preventing  the  consequences  of  floods,  droughts,  the  rise  of 
temperatures and sea levels337. 

  For  example,  the  ongoing  projects  funded  under  the  priority  area  'environment  and  resource  efficiency'  target  the  effective 
implementation of EU environmental policy by the public and private sectors, and are facilitating the development and sharing 
of new solutions and best practices. 

  A  contribution  to  innovation  is  expected  from  projects  funded  under  all  priority  areas  aimed  at  developing  policy  or 
management  approaches,  best  practices  and  solutions.  This  includes  the  development  of  innovative  technologies  for 
environment/climate challenges.  

  According  to  a  recent  study338,  61%  of  climate  change  adaptation  projects  and  over  80%  of  all  climate  change  mitigation 
projects  aim  to  help  develop  innovative  technologies,  systems  and/or  instruments.  The  external  monitoring  body  of  the 
programme  confirmed  that  this  is  the  result  of  more  emphasis  on  the  business  perspective  of  projects  introduced  in  recent 
years. 

  Ongoing  projects  to  promote  innovation  and  investments  in  energy  efficiency  and  the  PF4EE  are  designed  to  help  reduce 

energy demand and thus to make the EU less energy dependent, which is one of the objectives of the Energy Union. 

  Although employment is not the primary aim of the LIFE programme, the external study estimates the contribution of LIFE to 

green job creation 

Extremely valuable policy achievements initiated under LIFE will shape the EU economy in the coming decades: 

  The Circular Economy Package which establishes a clear and ambitious long-term vision for waste management and recycling, 
while proposing concrete  measures to address obstacles on the ground and taking into account the different situations across 
Member States. The recently adopted Plastics Strategy envisages concrete steps to tackle issues like marine litter and plastic 
waste  or  current  low  recycling  rates  of  plastics  and  will  help  transform  the  way  plastic  products  in  Europe  are  designed, 
produced, used and disposed of.  

  The  COP  21  Summit  which  led  to  the  first-ever  universal,  legally  binding  global  climate  deal  in  Paris  in  December  2015 

opening the way for the continuation of EU leadership in the global transition to a low-carbon future. 

  The 2030 climate and energy framework which defines three key targets for the year 2030: at least 40% cuts in greenhouse gas 
emissions (from 1990 levels), at least 27% share for renewable energy and at least 27% improvement in energy efficiency. The 
framework  helps  driving  progress  towards  a  low-carbon  intensive  economy  and  builds  an  energy  system  that  ensures 
affordable  energy  for  all  consumers,  increases  the  security  of  the  EU's  energy  supplies,  reduces  our  dependence  on  energy 
imports  and  creates  new  opportunities  for  growth  and  jobs.  It  also  brings  environmental  and  health  benefits  –  e.g.  through 
reduced air pollution.  

Therefore the contribution of the LIFE programme to the Europe 2020 priorities is 100% of the budget lines 07 02 01; 07 02 02; 07 
02 03; 34 02 01; 34 02 02 and 34 02 03. 

Contribution to mainstreaming of climate action 

337   In connection with this, "The implementation of green recovery measures in the EU", Cambridge Econometric et al (2011) assessed green measures focused on 
energy efficiency and climate change mitigation as part of recovery packages. It was found these measures contributed to economic recovery and provided a 
temporary boost to employment. The multiplier effects for green investment were similar to those from any other kind of investment and supported the general 
conclusion for LIFE projects that they support growth and jobs. 

338   See ‘External and independent LIFE mid Term Evaluation Report’. 2017. Ecorys and AA. . 

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Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Contributing to the reduction of greenhouse gas emissions (1) 
Contributing to increased resilience to climate change (2) 
Support better climate governance and information (3) 
Contribute  to  a  greener  and  more  resource-efficient  economy  and  to  the  development  and 
implementation of EU environmental policy and legislation (4) 
Halting  and  reversing  the  biodiversity  loss,  including  the  support  of  the  Natura  2000  network  and 
tackling the degradation of ecosystems (5) 
Total 
(1) Estimated to be the total operational budget for the priority areas climate change mitigation (budget article 34 02 01); 

73,1 
38 
15,9 

         74,7  

         47,3  

249 

77,1 
41,5 
16,3 

               50,1  

               78,6  

263,6 

(2) Estimated to be the total operational budget for the priority areas climate change adaptation (budget article 34 02 02); 

(3) Estimated to be the total operational budget for the priority area climate governance and information (budget article 34 02 03); 

(4) Estimated to be 40% of the projects financed under the priority area resource efficiency  - budget article 07 02 01: total budget 
for  2018  is  EUR  140,8  million,  out  of  which  EUR  118,1  million  are  devoted  to  projects;  total  budget  for  2019  is  EUR  148,8 
million, out of which EUR 125,2 million are devoted to projects; 

(5) Estimated to be 40% of the projects financed under the priority area nature and biodiversity  - budget article 07 02 02  – total 
budget  for  2018  is  200,1  million  EUR,  out  of  which  EUR  186,9  million  are  devoted  to  projects;  total  budget  for  2019  is  211,6 
million EUR, out of which EUR 196,4 million are devoted to projects. 

The above data are up-dated on the basis of the most recent figures available. The tracking methodology remained stable, compared 
with  2017,  and  is  largely  based  on  an  existing  OECD  methodology  (‘Rio  markers’),  adapted  to  provide  for  quantified  financial 
data. Expenditures have been thus marked in one of the three categories: climate related only (100%); significantly climate related 
(40%); and not climate related (0%).However, being translated into the above mentioned percentages of allocations by budget lines, 
the figures have evolved following the adoption of the second  Multiannual Work programme 2018-2020 and the delegated act to 
increase the percentage of biodiversity financing. 

Some expenditure under the LIFE sub-programme for environment and the LIFE sub-programme for climate action contribute to 
both biodiversity and climate objectives, especially given the desired synergies between them. Thus each of the tracking exercises 
has  to be seen separately, and the total  funds tracked as being related to one of the objectives has to be  seen  independently and 
cannot be added to the funds related to the other objective.  

2014 
186,0 

Total 
2014-2020 
1614,6 
Consolidated and updated comparable information for the annual expenditures adopted, estimated or programmed for the 2014-
2020 programming period (totals by programme in EUR million). 

2019-2020 programming 
2020 
2019 
273,9 
263,6 

2014 – 2016 
2015 
199,7 

2017-2018 estimates 

2018 
249,0 

2016 
213,5 

2017 
228,9 

Contribution to financing biodiversit 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Contribute  to  a  greener  and  more  resource-efficient  economy  and  to  the  development  and 
implementation of EU environmental policy and legislation (1) 
Halting  and  reversing  the  biodiversity  loss,  including  the  support  of  the  Natura  2000  network  and 
tackling the degradation of ecosystems (2) 
                6  
Support better environmental governance and information at all levels (3) 
              14,9  
Contributing to increased resilience to climate change (4) 
            282,6  
Total 
(1) Estimated to be 40% of the projects financed under the priority area resource efficiency  - budget article 07 02 01: total budget 
for  2018  is  EUR  140,8  million,  out  of  which  EUR  118,1  million  are  devoted  to  projects;  total  budget  for  2019  is  EUR  148,8 
million, out of which EUR 125,2 million are devoted to projects. 

           5  
         13,7  
       266  

            211,6  

             50,1  

         47,3  

       200  

(2) Estimated to be the 100% total operational budget for the priority area nature and biodiversity (budget article 07 02 02). 

(3)  Estimated  to  be  100%  of  the  projects  focused  on  nature  and  biodiversity  financed  under  the  priority  area  governance  and 
information (budget article 07 02 03  - total budget for 2018  is EUR 45,2 million, out of which EUR 11,9 million are devoted to 
projects, out of which EUR 5 million are for projects focused on nature and biodiversity, total budget for 2019 is EUR 47,8 million, 
out  of  which  EUR  12,8  million  are  devoted  to  projects,  out  of  which  EUR  6  million  are  for  projects  focused  on  nature  and 
biodiversity). 

(4) Estimated to be 40% of the total operational budget for the priority areas climate change adaptation devoted to projects  

Biodiversity related expenditure is tracked pursuant to Article 27 and Recital 40 of the LIFE Regulation (Regulation N.1293/2013).  

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The  tracking  methodology  remained  stable  compared  with  2017  and  is  largely  based  on  an  existing  OECD  methodology  (‘Rio 
markers’),  adapted  to  provide  for  quantified  financial  data.  Expenditures  have  been  thus  marked  in  one  of  the  three  categories: 
biodiversity  related  only  (100%);  significantly  biodiversity  related  (40%);  and  not  biodiversity  related  (0%).  Some  expenditure 
under the LIFE sub-programme for environment and the LIFE sub-programme for climate action, such as the expenditures for the 
climate adaptation can contribute to both biodiversity and climate objectives, especially given the desired synergies between them. 
Thus, each of the tracking exercises has to be seen separately and the total funds tracked as being related to one of the objectives 
has to be seen independently and cannot be added to the funds related to the other objective. 

2014 
195,1 

2014 – 2016 
2015 
217,1 

2017-2018 estimates 

2016 
227,6 

2017 
242,8 

2018 
266,0 

2019-2020 programming 
2020 
2019 
295,0 
282.6 

Total 
2014-2020 
1725,8 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (total amounts by programme in EUR million). 

Gender mainstreaming - the contribution of the LIFE programme to the gender mainstreaming is not significant. 

4. Performance information 

General objectives 

General  Objective  1: To  contribute  to  the  shift  towards  a  resource-efficient,  low-carbon  and  climate-resilient  economy,  to  the 
protection and improvement of the quality of the environment and to halting and reversing biodiversity loss, including the support 
of the Natura 2000 network and tackling the degradation of ecosystems 
Indicator 1: Attributable environmental and climate improvements 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

98% (1) 

88%(1) 

92%(1) 

2018 

2019 
0 

2017 
80% of ongoing/ 
finalised projects 
progress towards 
environmental and/or 
climate improvements 

Actual results 

≥ 80% of ongoing 
projects progress 
towards/ of finalised 
projects achieved 
environmental and/or 
climate improvements 

(1) Percentage of ongoing projects progressing towards environmental and/or climate improvements. 
Indicator 2: Percentage of the Natura 2000 network targeted by LIFE projects restored or brought to adequate management 

Baseline 

0 

2014 

2015 

Milestones foreseen 
2016 

2017 
10% 

Actual results 

26%(1) 

28%(1) 

34%(1) 

2018 

2019 

Target 2020 

12% of the Natura 2000 network 
targeted by ongoing projects are 
progressing towards/ of finalised 
projects achieved restoration/ 
adequate management 

(1) Percentage of the Natura 2000 network targeted by ongoing projects and progressing towards restoration/ adequate management. Cumulated 
figures. 
Indicator 3: Percentage of surface and type of ecosystems targeted by LIFE projects restored 

Baseline 

0 

2014 

2015 

Milestones foreseen 
2016 

2017 
10%  

Actual results 

45% (1) 

67% (1) 

63(% (1) 

2018 

2019 

Target 2020 

≥ 10% of ecosystem surfaces and 
type targeted by ongoing projects 
are progressing towards/ of 
finalised projects achieved an 
improvement/ restoration 

(1) Percentage of ecosystem surfaces and type targeted by ongoing projects and progressing towards improvement. 
Indicator 4: Percentage of types of habitats and of species targeted with improving conservation status 

Baseline 

0 

2014 

2015 

51%(1) 

98% of habitats 
and 34% of the 
species  

Milestones foreseen 
2016 

Actual results 

99% of habitats and 
36% of the species 

2017 
10%  

2018 

2019 

Target 2020 

≥ 10% of types of habitats and of 
species targeted by ongoing 
projects are progressing towards/ 
of finalised projects achieved an 
improved conservation status 

(1)  Percentage of types of habitats and of species targeted by ongoing/ finalised projects are progressing towards an improved conservation status. 

General Objective 2: To improve the development, implementation and enforcement of Union environmental and climate policy 
and legislation, and to act as a catalyst for, and promote, the integration and mainstreaming of environmental and climate objectives 

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into other Union policies and public and private sector practice, including by increasing the public and private sector's capacity 
Indicator 1: Number of interventions developed or undertaken that implement plans, programmes or strategies pursuant to Union 
environmental or climate policy or legislation 

Baseline 

0 

Milestones foreseen 

2014 

2015 

2016 

2017 
27 IPs 

2018 

2019 

Actual results 

15 IPs 

23 IPs 

Target 2020 

70 IPs 

Although  many  LIFE  interventions  will  implement  plans,  programmes  or  strategies  pursuant  to  Union  environmental  or  climate  policy  or 
legislation, integrated projects (IPs),  which are new under the LIFE programme, are specifically designed for this and are therefore used as the 
reference de minimis indicator. 
Indicator 2: Number of LIFE interventions (projects, measures, approaches) suitable for being replicated or transferred 

Baseline 

0 

2014 
0 

2015 

280 (2) 

Milestones foreseen 
2016 

2017 
360 (1) 

Actual results 

310 (2) 

392(2)  

2018 

2019 

Target 2020 

≥ 900 of ongoing projects/ of 
finalised projects implement 
replicable/transferable 
actions  

(1) Projects within the meaning of Articles 2 and 18 (a), (b), (c) and (h) Regulation No 1293/2013will be specifically assessed for their potential 
replicability/transferability and are therefore used as the reference indicator. It is expected that 80% of these projects implement 
replicable/transferable actions.  
 (2) Number of ongoing/finalised projects implementing replicable/transferable actions 
Indicator  3: Number  of  interventions  achieving  synergies  with  or  mainstreamed  into  other  Union  funding  programmes,  or 
integrated into public or private sector practice 

Baseline 

0 

2014 

2015 

2016 

2017 
27 IPs (1) 

2018 

2019 

Milestones foreseen 

Actual results 

15 IPs 

23 IPs 

Target 2020 

70 IPs (*) 

(1) Although all projects should to a certain degree promote synergies and integration into practice, integrated projects (IPs), which are new under 
the LIFE programme, are specifically designed for this and are therefore used as the reference indicator 
General Objective 3: To support better environmental and climate governance at all levels, including better involvement of civil 
society, NGOs and local actors 
Indicator 1: Number of interventions to ensure better governance, dissemination of information and awareness of environmental 
and climate aspects 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
420(1) 

2018 

2019 

122  

252  

Actual results 
324  

496   

800 interventions(1) 

(1)  Although all interventions contain an information, dissemination and/or awareness raising component, the interventions financed to "support 
better  environmental  and  climate  governance  and  information"  (budget  item  07  02  03  and  34  02  03),  whether  funded  through  grants  or 
procurement,  are  specifically  designed  to  address  this  objective  and  are  therefore  used  as  the  reference  indicator.  They  include  the  operating 
grants. The figures are cumulative and in 2017 include the European Solidarity Corps initiatives financed by LIFE.  
General Objective 4: To support the implementation of the 7th Environment Action Programme 
Indicator 1: Number of interventions to support the implementation of the 7th Environment Action Programme 

Baseline 

0 

2014 

2015 

2016 

2017 
1 300 (1) 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 

970  

1305  

1625  

1 700 interventions(1)  

(1)  All LIFE interventions, whether funded through grants, procurement or financial instruments, support the implementation of at least one of the 
priority objectives of the 7th Environment Action Programme. Figures include interventions over 100.000 EUR and are cumulative 

Specific objectives 

Specific Objective 1: Contribute to a greener and more resource-efficient economy and to the development and implementation of 
EU environmental policy and legislation (Environment and Resource Efficiency priority area) 
Indicator 1: Number of water bodies covered by projects and thus progressing towards or having reached an improved ecological 
status 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
100 (1) 

2018 

2019 

70 (2) 

83 (2) 

Actual results 
93 (2) 

170 water bodies are covered by ongoing projects 
which progress towards or finalised projects which 
achieved an improved ecological status(1) 

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(1) LIFE contribution is calculated taking into account an estimated total of 138 000 water bodies and the fact that 43% of water bodies already 
achieved good ecological status  according to the Commission Communication, A Blueprint to Safeguard Europe's Water Resources. COM(2012) 
673 final of 14th November 2012. 

(2) Number of water bodies covered by ongoing projects and progressing towards an improved ecological status 

Indicator 2: Population benefiting from improved air quality 

Baseline 

0 

2014 

2015 

2016 

Milestones foreseen 

370 000 (1)   

842 600 (1)   

Actual results 
934 000  (1) 

2017 
1 million  

2018 

2019 

Target 2020 

1.4 million persons are covered by 
ongoing projects which progress 
towards or finalised projects which 
achieved improved air quality 

(1)   Number of persons covered by ongoing/ finalised projects which progress towards improved air quality 
Indicator  3: Percentage  of  regions  covered  by  waste  IPs  and  thus  progressing  towards  or  having  reached  adequate  waste 
management 

Baseline 

0 
management 

2014 

2015 

Milestones foreseen 
2016 

n. a. 

1,8% 

Actual results 
2,5%(1) 

2017 
2%  

2018 

2019 

Target 2020 

3% of regions are covered by 
waste IPs and progress towards 
or achieved adequate waste 
management 

(1)  Only two IPs have been financed on Waste covering 7 regions, in which the project activities have started 
Indicator 4: Percentage of River Basin Districts (RBD) covered by IPs and thus progressing towards or having reached adequate 
management 

Baseline 

0 
management 

2014 

2015 

Milestones foreseen 
2016 

2017 
3%  

2018 

2019 

2% 

Actual results 
4%(1) 

Target 2020 

5% of RBD are covered by IPs 
and progress towards or 
achieved adequate management 

(1) Percentage of RBD covered by IPs and progressing towards adequate management. Six integrated projects covering river basin management 
plans (RBMP) have been financed.  
Indicator  5: Number  of  interventions  to  improve  the  knowledge  base  for  Union  environmental  policy  and  legislation,  and  for 
assessing and monitoring factors, pressures and responses having an impact on the environment 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
300  

2018 

2019 

120 

285 

Actual results 
382 

462 (1) 

680 interventions 

(1)  Estimated to be 100% of the interventions financed by the 07 02 01. Cumulative figures. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Action grants (projects) 
2. Public Procurement (contracts)  
Total 

Outputs 

1. Action grants (projects) 

2. Public Procurement (contracts) (1)   

2014 
0 
0 
47 
55 

F 
P 
F 
P 

07 02 01 
07 02 01 

65 
58 
123 

Number of outputs foreseen (F) and produced (P) 
2017 
60 
74 (3) 
51 
37 (2) 

2016 
57 
55 
49 
69 (3) 

2018 
65 

2015 
50 
54 
49 
33 (2) 

58 

60 

2019 
69 

125,2 
23,6 
148,8 

2020 
74 

70 

(1)  Above 100 000 EUR. 
(2) The average contract value was bigger than the one initially foreseen and this resulted in a number of contracts lower than initially planned. If 
the trend will continue the number of outputs foreseen will be adjusted. 
(3) The average grant/contract value was lower than the one initially foreseen and this resulted in a bigger number of contracts/grant agreements 
than initially planned.  

Justification of changes to the financial programming and/or to the performance information 
The amount for the budget line 07 02 01 was reduced following the need to provide more funds under the budget line 07 02 02 for 
financing the increase of the minimum ceiling devoted to the nature and biodiversity projects in the LIFE Regulation.   

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Specific Objective 2: Halting and reversing the biodiversity loss, including the support of the Natura 2000 network and tackling 
the degradation of ecosystems (Biodiversity priority area) 
Indicator 1: Percentage of surface and type of ecosystems targeted by LIFE projects restored 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
10% 

2018 

2019 

51%(1) 

67%(1) 

Actual results 
63%(1) 

≥ 10% of ecosystem surfaces and types 
targeted by ongoing projects progress 
towards/ by finalised projects achieved 
improvement/ restoration  

(1) Percentage of ecosystem surfaces and types targeted by ongoing projects and progressing towards improvement/ restoration. 
Indicator  2: Percentage  of  habitats  targeted  progressing  towards  or  improving  conservation  status  as  a  consequence  of  LIFE 
interventions 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
10% 

2018 

2019 

46%(1) 

98%(1) 

99%(1) 

Actual results 

≥ 10% of habitats targeted by ongoing 
projects progress towards/ of finalised 
projects achieved improved 
conservation status 

(1)  Percentage of habitats targeted by ongoing projects and progressing towards improved conservation status.  
Indicator  3: Percentage  of  species  targeted  progressing  towards  or  improving  conservation  status  as  a  consequence  of  LIFE 
interventions 

Target 2020 

≥ 10% of species targeted by ongoing 
projects progress towards/ of finalised 
projects achieved improved 
conservation status 

Baseline 

0 

2014 

2015 

2016 

Milestones foreseen 

2017 
10% 

2018 

2019 

Actual results 
36%(1) 

34%(1) 
(1) Percentage of species targeted by ongoing projects progressing towards improved conservation status 
Indicator  4: Percentage  of  the  Natura  2000  sites  covered  by  nature  IPs  and  thus  progressing  towards  the  implementation  of 
prioritised actions frameworks 

66%(1) 

Baseline 

0 

2014 

2015 

2016 

Milestones foreseen 

2017 
4% 

2018 

2019 

Actual results 

12% (1) 

Target 2020 

6% of the Natura 2000 sites are 
targeted by nature IPs and progress 
towards or achieved the 
implementation of prioritised actions 
frameworks  

(1) At present n.11 integrated projects (IPs) are supporting the implementation of Prioritized Action Frameworks developed in Belgium, Finland, 
Italy, Germany, Netherlands, Spain, France, Lithuania, Sweden Greece and Denmark, pursuant to Article 8 of the Habitats Directive   
Indicator 5: Number of interventions to improve the knowledge base for Union nature and biodiversity policy and legislation and 
for assessing and monitoring factors, pressures and responses having an impact on nature and biodiversity 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
300(1) 

2018 

2019 

700 interventions(1) 

Actual results 
214 
(1) Estimated to be 100% of the interventions financed by the 07 02 02 plus the number of “Nature” projects and 1/3 of the operating grants 
financed under 07 02 03. Cumulative figures. 
Expenditure related outputs 

323 

19 

80 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Action grants (projects) 

2. Public Procurement (contracts) * 
Total 
Outputs 
(1)  Above 100.000 EUR 

Outputs 

1. Action grants (projects)  

2. Financial instrument operations (projects) (2) 

3. Public Procurement (contracts) (1) 

2014 
0 
0 
0 
0 
20 
19 

F 
P 
F 
P 
F 
P 

07 02 02 
07 02 03 
07 02 02 

73 
2 
34 
114 

Number of outputs foreseen (F) and produced (P) 
2017 
70 
73 
2 
0.5 
25 
38(4) 

2016 
65 
87 (4) 
1.5 
0 
22 
20 

2018 
75 

2015 
64 
49 (3) 
1 
0 
22 
5(3) 

29 

0 

0 

34 

2019 
80 

196,4 
6,0 
15,2 
217,6 

2020 
90 

0 

39 

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 (1) Above 100.000 EUR  
(2) The financial instrument Natural Capital Financing Facility (NCFF) is funded half through 07 02 02 and half through 34 02 02. Half of the 
operations financed under the instrument are included here.  
(3) The project proposals received/contracts awarded were bigger than expected. 
(4) The project proposals received/awarded were lower in size than expected. 

Justification of changes to the financial programming and/or to the performance information 

Despite  the  increase  in the ceiling for nature  and biodiversity projects following the adoption , the number of projects under the 
budget 07 02 02 is expected to decrease because the size of the projects are expected to be bigger (more integrated projects). 
The signature of operation under the NCFF is delayed. This instrument represents an important innovation in the panorama of the 
existing financial instruments.  
Several operations have been scrutinised according to the criteria jointly defined by the Commission and the EIB in the delegation 
agreement.  However  they  have  not  been  retained  for  financing  because  their  contribution  to  biodiversity  protection  and  climate 
adaptation was considered insufficient and / or the operations were not mature enough for bank financing. The difficulties related to 
the assessment of this kind of operations were underestimated. 

Specific  Objective  3: Support  better  environmental  governance  and  information  at  all  levels  (Environmental  Governance  and 
Information priority area) 
Indicator  1: Number  of  stakeholders  and  citizens  participating  in  awareness  raising  activities  in  the  framework  of  LIFE 
interventions 

Baseline 

0 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 
n. a. 

Target 2020 

1 000 000  
stakeholders or 
citizens 

The data collected are not available in the form required by this indicator. The external study reported that almost 63 million individuals have 
visited the projects websites, with an average duration of the visits of about  six minutes. A total of almost 271 thousand project documents and 
communication  material  has  been  downloaded  by  interested  users.  More  than  48  thousand  individuals,  over  1,400  companies,  and  over  1,500 
NGOs and 1,300 public bodies have been interviewed. 
Indicator  2: Number  of  interventions  to  support  communication,  management  and  dissemination  of  information  in  the  field  of 
environment and to facilitate knowledge sharing 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
420  

2018 

2019 

101  

294  

Actual results 
362  

494  

800 interventions 

(1)  Although  all  interventions  contain  an  information,  dissemination  and  awareness  raising  element,  governance  and  information  interventions, 
whether funded through grants or procurement, are specifically designed to address this objective and are therefore used as the reference indicator. 
Cumulative figures. 
Indicator  3: Percentage  of  projects  promoting  and  contributing  to  a  more  effective  compliance  with  and  enforcement  of  Union 
environmental law 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
5% (1)  

2018 

2019 

Actual results 

39%  (2) 

42%(2) 

49%(2) 

≥ 5% (1) of ongoing 
governance and information 
projects progress towards/ of 
finalised projects achieved 
improved compliance and 
enforcement of Union 
environmental law 

(1)  It  is  expected  that  information  and  governance  projects  focusing  on  enforcement  and  compliance  promotion  will  significantly  increase 
awareness of relevant public bodies and civil society, leading in some projects that progress towards or reach actual improvements. 
(2)  Percentage  of  governance  and  information  projects  progress  towards  improved  compliance  and  enforcement  of  Union  environmental  law. 
Cumulative figures. 

Indicator 4: Percentage of increase in the participation of NGOs in consultations on EU environmental policy 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
12%(1)   

2018 

2019 

Actual results 

n. a. (2) 

≥12% increase (1)   

(1) All NGO's funded by operating grants are expected to increase their participation in consultations on EU environmental policy. 
(2) All the beneficiaries of NGO operating grants interviewed during the mid-term evaluation declared that their participation increased but were 
not able to provide a percentage. This indicator should be modified. 

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6,8 
26,0 
9,0 
41,8 

2020 
12 

40 

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Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Action grants (projects) (1)   
2. Public Procurement (contracts) (2)   
3. Operating grants (work programmes of non-profit making entities/NGOs 
Total 
(1)   Excluding the action grants on nature included under the indicators for the specific objective 2. 
(2)  Above 100.000 EUR 

07 02 03 
07 02 03 
07 02 03 

5 
51 
19 
81 

Outputs 

1. Action grants (projects) (1)   

2. Public Procurement (contracts) 

2014 
0 
0 
44 
44 
0 
0 

F 
P 
F 
P 
F 
P 

2018 
10 

Number of outputs foreseen (F) and produced (P) 
2017 
9 
10 
60 
55 
16 
16 

2016 
8 
6 
57 
48(2)   
16 
19(3)   

2015 
15 
14 
50 
43(2)   
16 
19(3)   

64 

2019 
11 

51 

3.  Operating  grants  (work  programmes  of  non-
profit making entities/NGOs 
(1)   Excluding the action grants on nature included under the indicators for the specific objective 2. 
(2)  The average contract value was bigger than the one initially foreseen and this resulted in a number of contracts slightly lower than initially 
planned.  
(3)  additional funds were made available to finance operating grants in 2015-2016. 

16 

16 

16 

Justification of changes to the financial programming and/or to the performance information 
The budget line 07 02 03 absorbed a great reduction following the need to increase the budget line 07 02 02 for the increase of the 
minimum ceiling devoted to the nature and biodiversity projects in the LIFE Regulation. 

Specific Objective 4: Reduction of EU greenhouse gas emissions and development and implementation of EU climate policy and 
legislation (Climate Change Mitigation priority area) 
Indicator 1: Number and coverage of climate change mitigation strategies or action plans developed or implemented through LIFE 

Baseline 

Milestones foreseen 

Target 2020 

In 2012 less than 10% of the 
climate mitigation project 
proposals submitted in LIFE+ 
concerned development of 
mitigation strategies and action 
plans. 
implementation of at least 1 
climate change mitigation strategy 
or action plan per Member State 

2014 

2015 

2016 

7 

13 

20 

2018 

2019 

2017 
Support development 
and/or implementation 
of at least 1 climate 
change  mitigation 
strategy or action plan 
in 13 different 
geographical  regions 

Support development 
and/or 
implementation of at 
least 1 climate change 
mitigation strategy or 
action plan per Member 
State 

Indicator 2: Tons of greenhouse gases reduced by new  technologies, systems, methods or instruments and/or other best practice 
approaches developed and taken up following LIFE examples 

Baseline 

Milestones foreseen 

Target 2020 

Data not available 
80% of the projects funded 
in climate change 
mitigation priority area 
2014-2017 should promote 
innovative technologies 
and/or other best practice 
solutions for the reduction 
of greenhouse gas 
emissions 
80% of the projects funded 
in climate change 
mitigation priority area 
should promote innovative 
technologies and/or other 
best practice solutions for 
the reduction of 
greenhouse gas emissions 

2014 

2015 

2016 

2018 

2019 

2017 
Relative reduction 
in tons of 
greenhouse gasses 
per project of at 
least 20% compared 
to project baseline. 
80% of the projects 
funded in climate 
change mitigation 
priority area 2014-
2017 should 
promote innovative 
technologies and/or 
other best practice 
solutions for the 
reduction of 
greenhouse gas 
emissions 

Relative reduction in 
tons of greenhouse 
gasses per project of 
at least 20% 
compared to project 
baseline. 
80% of the projects 
funded in climate 
change mitigation 
priority area should 
promote innovative 
technologies and/or 
other best practice 
solutions for the 
reduction of 
greenhouse gas 
emissions 

(*) average percentage of reduction of tons of greenhouse gas emissions due to innovative technologies and/or best practice solutions. 

43% (*) 

53% 

63% 

Indicator 3: Number of interventions to improve the knowledge base for Union climate  policy and legislation, and for assessing 

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and monitoring factors, pressures and responses having an impact on the climate (cf. Article 14(b) Regulation 1293/2013) 

Baseline 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

Data not available 
30% of the traditional 
projects funded in climate 
change mitigation priority 
area 2014-2017 

(*) No 15 out of 38 projects. 
Expenditure related outputs 

Actual results 

100% of the IPs and 
34% of the climate 
change mitigation 
traditional projects 

100% of the IPs and 
39% of the climate 
change mitigation 
traditional projects (*) 

2018 

2019 

2017 
80% of IPs and 
30% of the traditional 
projects funded in 
climate change 
mitigation priority 
area 2014-2017 

100% of IPs and 25% 
of the traditional 
projects funded in 
climate change 
mitigation priority 
area 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Action grants (projects) 
2.Financial instrument operation (projects) 
3.Public Procurement (contracts) 
Total 
Estimated to be 100% of the interventions financed by the 34 02 01 
For the financial instrument Private Finance for Energy Efficiency (PF4EE), the number identifies the interventions at final recipients’ level. 

34 02 01 
34 02 01 
34 02 01 

27 
400 
35 

42,6 
25 
9,5 
77,1 

Outputs 

1. Action grants (projects) 

2.Financial instrument operation (projects) 

3.Public Procurement (contracts) 

2014 
0 
0 
0 
0 
22 
27 

F 
P 
F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
18 
14 
400 

2018 
26 

400 

2019 
27 

400 

2015 
15 
13 
50 
n.a.* 
18 
13 

2016 
16 
17 
350 
n.a.* 
16 
32 

18 
34 

22 

35 

2020 
27 

100 

35 

* No 8 agreements with financial intermediaries were signed. Financial intermediaries are developing their own loan proposals and this is taking 
more time than expected.  

Specific Objective 5: Increased resilience of the EU to climate change (Climate Change Adaptation priority area) 
Indicator 1: Number and coverage of climate change adaptation strategies or action plans developed or implemented 

Baseline 

Milestones foreseen 

Target 2020 

February 2014: 16 
Member States have 
adopted an adaptation 
strategy. 

2014 

2015 

2016 

2018 

2019 

2017 
All MS have 
adopted a national 
adaptation strategy 

Actual results 

21  MS have 
adopted a 
national 
adaptation 
strategy  

25  MS have 
adopted a national 
adaptation strategy 

All MS are effectively 
implementing their 
national adaptation 
strategies. 

Indicator  2: Attributable  climate  resilience,  broken  down  by  sector,  due  to  the  demonstrated  new  technologies,  systems, 
instruments and/or other best practice approaches developed and taken up following LIFE examples 

Baseline 

Milestones foreseen 

Target 2020 

Under the 2012 call of 
the LIFE+ regulation, 
only 15% of climate 
project proposals 
submitted were on 
adaptation. 
80% of funded projects 
promoting innovative 
policy approaches and/or 
other best practice 
solutions for more 
climate resilience. 

2014 

2015 

2016 

73% 

69% (*) 

2018 

2019 

2017 
Increased climate 
resilience due to LIFE 
funded projects in 
vulnerable areas as 
identified in the EU 
adaptation strategy.80% of 
funded projects promoting 
innovative policy 
approaches and/or other 
best practice solutions for 
more climate resilience 

Increased attributable 
climate resilience per 
sector. 

80% of funded 
projects promoting 
innovative policy 
approaches and/or 
other best practice 
solutions for more 
climate resilience. 

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of the traditional 
projects funded in 
climate change 
adaptation priority 
area 

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(*) Percentage of the projects for climate adaptation promoting best practice solutions. 
Indicator 3: Number of interventions to improve the knowledge base for Union climate  policy and legislation, and for  assessing 
and monitoring factors, pressures and responses having an impact on the climate resilience (cf. Article 15(b) Regulation 1293/2013) 

Baseline 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

Data not available 
30% of the traditional 
projects funded in climate 
change adaptation priority 
area 2014-2017 

2018 

2019 

2017 
80% of IPs and 
30% of the 
traditional projects 
funded in climate 
change adaptation 
priority area 2014-
2017 

Actual results 

100% of IPs 
and 38% of 
climate change 
adaptation 
traditional 
projects (*) 
(*) Percentage of the traditional projects funded in climate change adaptation priority area 2014-2017: No 15 out of 39 traditional projects on 
climate change adaptation. 
Expenditure related outputs 

100% of IPs 
and 37% of 
climate change 
adaptation 
traditional 
projects 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Action grants (projects) 
2.Public Procurement (contracts) 
Total 
Estimated to be 100% of the interventions financed by the 34 02 02. 

34 02 02 
34 02 02 

16 
12 

Outputs 

1. Action grants (projects) 

2.Financial instrument operation (projects) ** 

3.Public Procurement (contracts) 

2014 
0 
0 
0 
0 
8 
8 

P 
F 
P 
F 
F 
P 

2018 
15 

Number of outputs foreseen (F) and produced (P) 
2017 
22 
14 
2 
0,5 
12 
12 

2016 
19 
16* 
1,5 
0 
11 
8 

2015 
16 
11* 
1 
0 
10 
8 

12 

0 

0 

13 

2019 
16 

37,3 
4,2 
41.5 

2020 
16 

0 

13 

** The financial instrument Natural Capital Financing Facility (NCFF) is funded half through 34 02 02 and half through 07 02 02. Half of the 
operations financed under the instrument are included here. 

Justification of changes to the financial programming and/or to the performance information 
The  main  changes  are  underlined  under  par  4.2.1.3.  The  signature  of  operation  under  the  NCFF  is  delayed.  This  instrument 
represents an important innovation in the panorama of the existing financial instruments.  
Several operations have been scrutinised according to the criteria jointly defined by the Commission and the EIB in the delegation 
agreement. They have not been found to provide sufficiently contribute to biodiversity protection and climate adaptation and  / or 
not  to  be  mature  enough  for  bank  financing.  The  difficulties  related  to  assessment  of  this  kind  of  operations  were  effectively 
underestimated.  

At the time of writing, in January 2018, two new operations are expected to be concluded soon. 
Specific  Objective  6: Support  better  climate  governance  and  information  at  all  levels  (Climate  Governance  and  Information 
priority area) 
Indicator  1: Number  of  stakeholders  and  citizens  participating  in  awareness  raising  activities  in  the  framework  of  LIFE 
interventions 

Baseline 

0 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2017 
70 000 stakeholders 
or citizens 

2018 

2019 

n.a. 

Actual results 

140 000 stakeholders 
or citizens 

(1) The data collected are not available in the form required by this indicator. The independent study for the  mid-term evaluation reported that 
almost 63 million individuals have visited the projects websites, with an average duration of the visits of about six minutes. A total of almost 271 
thousand project documents and communication material has been downloaded by interested users. More than 48 thousand individuals, over 1,400 
companies, and over 1,500 NGOs and 1,300 public bodies have been interviewed. 
Indicator  2: Number  of  interventions  to  support  communication,  management  and  dissemination  of  information  in  the  field  of 
climate change mitigation and adaptation and to facilitate knowledge sharing 

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Baseline 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

In 2012 less than 5% of the  
traditional climate project 
proposals submitted related 
to climate awareness 
raising activities at local, 
regional, national or cross-
border levels* 

All LIFE projects under 
the priority area climate 
governance and 
information achieve 
knowledge sharing 

2018 

2019 

2017 
10% of climate 
projects are targeted 
to specific climate 
governance, 
awareness raising or 
information 
activities at local, 
regional, national or 
cross-border levels. 
All LIFE projects 
under the priority 
area climate 
governance and 
information achieve 
knowledge sharing 

All LIFE projects 
under the priority area 
climate governance 
and information 
achieve knowledge 
sharing. 

13%  

16% (**) 

(*)  Although all interventions contain an information, dissemination and awareness raising  element, governance and information interventions, 
whether funded through grants or procurement, are designed to address this objective and are therefore used as the reference indicator. 
(**) Percentage of climate projects targeted to specific climate governance, awareness raising or information activities at local, regional, national 
or cross-border levels. No 15 out of 92 climate projects are governance and information projects. 
Indicator 3: Share of projects promoting and contributing to a more effective compliance with and enforcement of Union climate 
law 

Baseline 

0 

2014 

2015 

Milestones foreseen 
2016 

2017 
5% of governance and 
information projects 
progress towards 
improved compliance 
and enforcement of 
Union climate law 

Actual results 

11%  

13% (*) 

2018 

2019 

Target 2020 

More than 5% of 
governance and 
information projects 
progress towards 
improved compliance 
and enforcement of 
Union climate law 

(*) Percentage of governance and information projects progressing towards improved compliance and enforcement of Union climate law: No 2 
projects out of 15 on governance and information projects 
Indicator 4: Number of interventions emanating from NGOs funded by LIFE with an impact on EU policy 

Baseline 

Milestones foreseen 

Target 2020 

2014 

2015 

2016 

2018 

2019 

2017 
Stable level of 
operating grants to 
NGO's with climate 
related work 
programmes. 

Stable level of 
operating grants to 
NGO's with climate 
related work 
programmes. 

Actual results 

5 

6 

6 

Under the 2012 call of the 
LIFE + Regulation, the 
work programme of 6 
specific climate NGO's 
proposals plus a number of 
environmental NGO's that 
also have a climate focus 
were co-funded. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1.  Action grants (projects) 
2. Public Procurement (contracts) 
3. Operating grants (work programmes of non-profit making entities/NGOs 
Total 
Estimated to be 100% of the interventions financed by the 34 02 03 and 34 02 05 

34 02 03 
34 02 03 
34 02 03 

7 
25 
9 

Outputs 

1.Action grants (projects) 

2.Public Procurement (contracts) 

2014 
0 
0 
10 
8 
0 
0 

F 
P 
F 
P 
F 
P 

2018 
7 

Number of outputs foreseen (F) and produced (P) 
2017 
6 
7 
22 
33* 
6 
6 

2016 
5 
6 
21 
26* 
6 
6 

2015 
4 
7* 
11 
9 
6 
5 

9 (*) 

17 

25 

9 

2019 
7 

3.  Operating  grants  (work  programmes  of  non-
profit making entities/NGOs 
* additional funds are made available to finance operating grants in 2018-2020 

7 
5,9 
3 
15,9 

2020 
7 

27 

9 

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5. Programme contribution to the Sustainable Development Goals 

LIFE is at the heart of the SDGs, taking into account their strong environmental and climate dimensions.  

The  LIFE  programme  supports  SDG  2.  "End  hunger,  achieve  food  security  and  improved  nutrition,  and  promote  sustainable 
agriculture"  because  it  encourages  an  environmentally  friendly  agriculture,  in  view  of  the  protection,  preservation  and 
improvement in the quality of water, air and soil and the protection of bio-diversity.  

To  improve  resource  efficiency  in  food  production  and  reduce  impact  on  water  resources,  LIFE  is  also  promoting  sustainable 
nutrients management in agriculture.  

Moreover,  the  National  Emission  Ceilings  Directive  for  air  pollutants,  the  Member  States'  targets  to  reduce  Greenhouse  Gas 
emissions as well as the proposal to integrate the land use  sector into the EU 2030 Climate and Energy Framework are aimed at 
incentivising Member States to take additional sustainable action in their agriculture sectors. 

On  SDG  3  "Ensure  healthy  lives  and  promote  well-being  for  all  at  all  ages",  with  environmental  stressors  having  significant 
impacts on health, LIFE complements Member States' action through legislation and other initiatives on environment related health 
problems, which are linked to air quality, industrial emissions, chemicals, waste and water.  

Examples include the 7th Environment Action Programme, the EU Biodiversity Strategy to 2020, or the rules on the sustainable use 
of pesticides which underline the link with health policy aspects.  

The EU Chemicals Policy also covers regulation on persistent organic pollutants; trade in hazardous chemicals; fluorinated gases; 
and  hazardous  waste.  The  so-called  "REACH"  framework  aims  to  improve  the  protection  of  human  health  and  the  environment 
from the risks that can be posed by chemicals, while enhancing the competitiveness of the EU chemicals industry.  

In  view  of  SDG  6  "Ensure  availability  and  sustainable  management  of  water  and  sanitation  for  all",  the  EU  water  policy  is  a 
cornerstone of the LIFE Programme and provides for a framework to address water protection and achieve good ecological status 
for inland surface waters, transitional waters, coastal waters and groundwater. It comprises regulation including on drinking water, 
bathing  water  and  urban  waste  water,  prevention  of  pollution  caused  by  nitrates,  industrial  emissions,  pesticides  and  persistent 
organic pollutants.  

The transition to a circular economy should also lead to greater resource efficiency for example by improving the conditions for 
water re-use in several sectors. 

Through the circular economy package, LIFE addresses economic and environmental concerns by maximizing efficiency in the use 
of resources, and thus contributes to  SDG 8 "Promote sustained, inclusive and sustainable economic growth, full and productive 
employment and decent work for all".  

Moreover, the 7th Environment Action Programme confirms that EU prosperity and healthy environment stem from an innovative, 
circular  economy  where  nothing  is  wasted  and  where  natural  resources  are  managed  in  a  sustainable  way,  and  biodiversity  is 
protected, valued and restored. 

LIFE  also  contributes  to  SDG  9  "Build  resilient  infrastructure,  promote  inclusive  and  sustainable  industrialization  and  foster 
innovation": 

The 2030 Climate and Energy Policy Framework strives for a competitive low-carbon and climate-resilient economy and the EU 
Strategy on Adaptation to Climate Change identifies resilient infrastructure as a priority action area under the strategic objective of 
mainstreaming adaptation measures.  

The circular economy fosters eco-innovation and sustainability objectives. 

As regards as SDG 11 "Make cities and human settlements inclusive, safe, resilient and sustainable", the 7th Environment Action 
Programme has as a horizontal priority objective to make the Union's cities more sustainable.  

Other environmental and climate policies and legislation are vital for sustainable urban development such as Noise Legislation, the 
EU's Biodiversity and Green Infrastructure Strategies, Drinking Water and Urban Wastewater Treatment, the framework on energy 
performance of building, the strengthen of the resilience of urban settings through climate related risks.  

Urban energy consumption generates about three quarters of global carbon emissions. Therefore, cities play a crucial  role in terms 
of energy and climate policy (the Clean Air Package, Air Quality, etc.). The EU Covenant of Mayors for Climate and Energy is a 
bottom-up local and regional action for tackling in an integrated manner climate change mitigation and adaptation,  and access to 
secure, sustainable and affordable energy. 

Moreover,  the  circular  economy  package  contributes  to  this  SDG  under  many  aspects,  such  as  by  addressing  sustainable  waste 
sorting and recycling and by shifting energy consumption onto more sustainable pathways. 

In view of reaching SDG 12 "Ensure sustainable consumption and production patterns", resource efficiency and circular economy 
actions  aim  to  decouple  economic  growth  from  resource  use  and  environmental  degradation.  By  covering  the  whole  cycle  from 
production and consumption to waste management, they are at the core of the LIFE actions under the priority areas Environment 
and  Resource  Efficiency.  Moreover,  the  7th  Environment  Action  programme  has  as  a  key  objective  to  turn  the  Union  into  a 

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resource-efficient,  green,  and  competitive  low-carbon  economy.  Another  related  key  objective  is  to  safeguard  EU  citizens  from 
environment-related pressures and risks to health and wellbeing.  

Concerning SDG 13 "Take urgent action to combat climate change and its impacts", climate change mitigation and climate change 
adaptation are two priority areas of the LIFE programme. The 2015 Paris Agreement is a historically significant landmark in the 
global fight against climate change; a community-building event for the world. The strength of the Paris Agreement derives from 
its flexibility to allow countries to establish their own targets, while creating processes to hold them accountable and enhance action 
over  time.  Monitoring  the  implementation  of  the  Paris  Agreement  will  be  the  key  factor  to  its  success.  The  Paris'  deal  was  a 
confirmation of the EU's righteous path to transform into a low-carbon and climate resilient economy. With the support of LIFE, 
ambitious 2020 and 2030 targets339 have been set up to reduce greenhouse gas emissions, improve energy efficiency and increase 
the share of renewable energy. Renewable energies and energy efficiency play an increasingly important role in tackling climate 
change.  

The EU Emissions Trading System (ETS) is a key tool for cutting greenhouse gas emissions from large-scale facilities in the power 
generation and energy-intensive industrial sectors, as well as in the aviation sector.  

The EU Strategy on Adaptation to Climate Change provides a framework and mechanisms to improve the preparedness of the EU 
for current and future impacts of climate change, thus contributing to a more climate-resilient society.  

On  SDG  14  "Conserve  and  sustainably  use  the  oceans,  seas  and  marine  resources  for  sustainable  development",  the  7th 
Environment Action Programme sets the objective to protect the Union's natural capital to, inter alia, reduce the impact of pressures 
on marine  waters, in order to achieve or maintain good environmental status. The Birds and Habitats legislation complement the 
Marine  Strategy  Framework  by  protecting  5%  of  the  EU  sea  area  through  a  network  of  Marine  Protected  Areas  part  of  'Natura 
2000'.  Moreover,  to  tackle  marine  litter  and  pollution,  LIFE  supports  a  wide  set  of  instruments,  including  regulation  on  waste 
management and prevention, port reception facilities for ship generated waste and cargo residues.  

As regards as SDG 15 "Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat 
desertification, and halt and reverse land degradation and halt biodiversity loss", the environmental acquis provides a high level of 
protection  in  areas  such  as  water  quality  and  nature  conservation,  though  the  development  and  implementation  of  the  Birds  and 
Habitats Directives and of the Natura 2000 network.  

The  EU  Forest  Strategy  has  as  one  of  its  key  principles  global  forest  responsibility,  promoting  sustainable  production  and 
consumption of forest products.  

The  circular  economy  offers  an  opportunity  for  modernising  the  economy,  making  it  more  green  and  competitive.  It  also 
contributes to lower carbon dioxide emission levels and energy savings as well as decreased air, soil and water pollution. It focuses 
on  resource  efficiency  and  minimising  waste  and  has  a  strong  potential  in  terms  of  new  jobs  and  growth  and  for  stimulating 
sustainable consumption and production patterns. 

Finally, by supporting the compliance and enforcement of environmental and climate legislation and the access to justice on 
environmental matters in Member States, LIFE is contributing to SDG 17 " Promote peaceful and inclusive societies for 
sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels". 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Two pilot financial instruments have been put in place to test innovative approaches: 
 

the  Private  Finance  for  Energy  Efficiency  (PF4EE)  supports  investments  for  the  implementation  of  Member  States’  Energy 
Efficiency Action Plans through financial intermediaries; 
the Natural Capital Financing facility (NCFF) is designed to demonstrate that natural capital projects can generate revenues or 
save costs. It intends to establish a pipeline of replicable, bankable operations that will serve as a "proof of concept" and that 
will  demonstrate  to  potential  investors  the  attractiveness  of  such  operations  directly  addressing  biodiversity  and  climate 
adaptation objectives. 

 

Following  an  ex  ante  assessment  analysing  the  potential  demand  and  defining  the  best  possible  conditions  for  their  financing, 
delegation agreements between the Commission and the European Investment Bank (EIB) were developed and signed. 

Subsequently, in the case of the PF4EE, the EIB has started to make agreements with financial intermediaries, which then have to 
develop  their  own  portfolio  to  provide  loans  for  energy  efficiency  investments.  At  the  outset  of  the  PF4EE,  support  of  total 
investment up to about EUR 540 million was expected, with an objective to sign operations in six to ten Member States.  

By end of 2017, nine collateral agreements were signed (CZ, ES, FR, BE, PT, IT, HR, EL, CY). As € 23,5 M remain to be allocated 
to additional deals in 2018-2020, it was decided to extend the implementation period to 2019 and to launch a new call of expression 
of interest in 2018. The EIB now targets to achieve EUR 1 billion of new investments in energy efficiency, almost twice the initial 
leverage target. 

339 For the period up to 2020, the Europe 2020 Strategy aims at cutting greenhouse gas emissions by 20%, at meeting 20% of the EU's energy demand with 
renewables, and at increasing energy efficiency by 20% by 2020. The 2030 Climate and Energy Policy Framework aims to achieve a greenhouse gas emissions 
reduction of 40%, a renewables' share of at least 27% in the EU's energy mix, and an increase of energy efficiency by at least 27% (with a view to 30%) for 2030. 

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Operations  on  the  ground  have  started  their  implementation  in  the  Czech  Republic,  Spain,  France,  Portugal  and  Italy  so  far,  the 
strong  interest  by  banks  indicates  the  underlying  market  demand  and  thus  the  potential  for  scaling  up.  In  fact,  PF4EE  is 
contributing to creating a new financial product in the market targeting energy efficiency and consequently directly contributing to 
the  decarbonisation  of  our  economy,  in  line  with  the  COP21  goals.  The  instrument  will  be  scaled  up  after  its  pilot  phase,  with 
additional EUR 75 million for the 2018-2020 period. 

NCFF  supports  the  financing  of  loans  and  equity  for  investments  contributing  to  biodiversity  and/or  climate  change  adaptation 
objectives.  This  represents  an  innovation  which,  if  successful,  could  drive  the  architecture  of  natural  capital  financing.  Between 
nine and 12 operations are expected to be financed until 2021. 

Several operations have been scrutinized according to the criteria jointly defined by the Commission and the EIB in the delegation 
agreement. They have not been retained for funding (for more information see above “Justification of changes to the financial 
programming and/or to the performance information” under specific objective 2). 

Following the recommendations of the mid-term evaluation of the LIFE Programme, several adjustments have been introduced  in 
the  management of the NCFF in agreement with the EIB, including more flexibility on the provision of technical assistance, the 
prolongation  of  the  implementation  period  without  additional  financing,  the  opening  of  a  guarantee  facility,  some  targeted 
promotional  activities  to  stimulate  the  potential  demand.  At  the  time  of  writing,  in  February  2018,  seven  new  operations  have 
passed the eligibility check, out of which two are expected to be signed soon. 

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Compulsory contributions to Regional Fisheries Management Organisations (RFMOs) 
and other international organisations and Sustainable Fisheries Partnership 
Agreements (SFPAs) 
Lead DG: MARE 

I. Programme Overview 

What the programme is about? 

Sustainable Fisheries Agreements 
Under its exclusive competence of negotiating bilateral fisheries agreements the European Commission negotiates, concludes and 
implements bilateral Sustainable Fisheries Partnership Agreements (SFPAs) between the European Union and third countries with 
the objective of contributing to a regulated framework for the EU long-distance fishing fleet while ensuring a suitable exploitation 
of the third countries' relevant fisheries resources and supporting competiveness of the Union's fishing fleet. Within the framework 
of  the  SFPAs,  the  Commission  maintains  a  political  dialogue  on  fisheries  related  policies  with  third  countries  concerned,  in 
coherence with the principles governing the Common Fisheries Policy (CFP) and the commitments under other relevant European 
policies  in  order  to  contribute  to  healthy  fish  stocks  around  the  world.  SFPAs  constitute  a  benchmark  for  the  management  of 
international fishing policies and therefore also contribute to fostering the EU position as a global and leading actor in the field of 
international fisheries. 

Regional Fisheries Management Organisations (RFMOs) and international organisations 
Given the exclusive competence of the EU for the conservation of marine living resources and international obligations deriving 
from  the  United  Nations  Convention  for  the  Law  of  the  Sea  (UNCLOS)  and  the  implementing  UN  Fish  Stocks  Agreement 
(UNFSA), to which the EU is Party, the Commission pays compulsory annual contributions deriving from EU membership in these 
bodies. This includes various RFMOs where the EU has an interest and bodies set up by the UNCLOS, namely the International 
Seabed Authority and the International Tribunal for the Law of the Sea. 

EU added value of the programme 

Sustainable Fisheries Agreements 
The  conclusion  of  bilateral  agreements  with  third  countries  is  necessary  to  allow  European  Union  fleets  access  to  fish  surplus 
stocks that are not being fished by the coastal States' local fleets and to provide sustainable  food supply to the European citizens. 
Most of these fish stocks cannot be found in European waters (tuna, small pelagic species, crustaceans, cephalopods). An important 
part of the EU fleet depends on them and therefore needs access to the waters of non-EU countries. At the same time, these bilateral 
agreements  are  playing  an  essential  role  in  developing  the  partner  country’s  governance  of  the  fishing  sector  in  a  sustainable 
manner through the provision of sectoral support. 

In summary, SFPAs deliver the following overall benefits: 
  SFPAs give the European fleet access to fishing grounds under a clearer, uniform and more stable legal framework, offering 

greater legal certainty for European vessel owners, and contributing to their competitiveness; 

  SFPAs foster scientific cooperation between the EU and its partner countries; 
  SFPAs promote transparency and sustainability in the partner countries that also apply to other agreements between the partner 
countries  concerned  and  other  fleets  present  in  their  EEZ.  This  is  therefore  contributing  to  the  sustainable  management  of 
fishing resources worldwide. 
In the partner countries, SFPAs encourage improved governance and management of the local fisheries sector by supporting 
the  monitoring,  control  and  surveillance  of  national  and  foreign  fleets’  activities.  SFPAs  provide  significant  funding  to 
contribute to the sustainable development of local fishing activities, and to the fight against illegal, unreported and unregulated 
(IUU) fishing. 

 

Regional Fisheries Management Organisations (RFMOs) and international organisations 
In line with the External Dimension of the CFP340, which is an exclusive community policy, the EU promotes better international 
fisheries and ocean governance and the sustainable management of international fish stocks as well as defends EU economic and 
social interests within these organisations. As the EU is a Contracting Party to the UNCLOS and UNFSA it must cooperate with 
other fishing nations and be a member of RFMOs when fishing in high seas. As the sole representative for all EU fishing interests 
in  RFMOs  with  a  common  strategy  for  all  EU  fleets,  the  EU  is  a  leading  member  in  these  organisations  and  has  the  clout  and 
authority to defend the EU interests more effectively and forcefully than EU Member States separately.  

II. Programme Update 

Implementation Status (2014-2017) 

340 cf. Commission Communication on the External Dimension of the CFP and articles 28-30 of the CFP Basic Regulation 

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At the end of 2017, a total number of 12 SFPA protocols341 were in force, compared to 13 in 2014 and 14 in 2015 and 2016.   

In  2017,  negotiations  have  been  successfully  completed  for  the  renewal  of  the  SFPA  protocol  with  Mauritius,  they  have  been 
started with Guinea Bissau and continued with Mozambique and Kiribati.  

In  addition,  recommendations  for  negotiation  mandates  for  new  protocols  with  Guinea-Bissau,  Sao  Tome  e  Principe  and  Ivory 
Coast  have  been  adopted  by  the  Commission,  and  preliminary  steps  taken  in  view  of  obtaining  a  negotiation  mandate  with 
Morocco.  Ex-post  and  ex-ante  evaluations  were  finalised  for  each  Protocol  renewal,  and  in  addition,  related  Staff  Working 
Documents have been adopted. Finally, a proposal to denounce the Partnership Agreement between the European Community and 
the Union of the Comoros was adopted by the Council in December following a proposal made by the Commission in September. 
This follows a Council Decision to add the Union of the Comoros to the list of non-cooperating third countries in fighting illegal, 
unreported and unregulated fishing.   

RFMOs are international bodies set up to ensure the conservation and sustainability of straddling and highly migratory fish stocks. 
The EU has a strong presence in all of the world’s oceans through its fleets and is obliged under The Convention on the Law of the 
Sea  to  co-operate  with  other  parties  by  participating  in  these  Organisations.  The  RFMOs  are  the  main  vehicle  for  multilateral 
cooperation,  providing  a  legal  framework  that  can  take  into  account  the  specific  features  and  characteristics  of  each  zone  and 
species concerned. The EU paid its membership contributions to 13 RFMOs342 and 3 other International Bodies in view of the EU’s 
membership to them (i.e. CMS, ITLOS, ISBA) in 2017. 

Key achievements 

A total of 200 EU vessels flagged in one of the EU Member States currently benefit from a fishing authorisation granted under an 
SFPA protocol, providing them the access they need in a fully transparent environment. SFPAs have also been contributing to the 
development of the fisheries sector in the 12 partner countries and to better governance of their fisheries sector. A significant part 
of the total EU budget for SFPAs has been devoted to the  concrete  projects funded under sectoral support and related mostly to 
control  and  surveillance  capacities,  small  port  infrastructures,  landing  facilities  and  laboratories,  equipment  for  small  scale 
fishermen.  At  the  same  time,  they  contribute  to  eliminating  illegal  fishing  and  providing  good  framework  conditions  for  local 
fishermen. SFPAs therefore also contribute to ensuring food security to local coastal communities.   

In ensuring the sustainable exploitation of surplus marine biological resources, SFPAs contributed to providing jobs and growth in 
the  third  countries  and  in  the  EU  (estimated  6000  direct  jobs  and  9000  indirect  jobs  are  created  through  SFPAs,  as  70%  of  the 
catches made in the context of SFPAs are processed in the partner country).  

Evaluations/ studies conducted 

The  results  of  the  evaluations  carried  out  in  2017  (Sao-Tomé  e  Principe  Ivory  Coast  and  Morocco)  are  taken  on  board  in  the 
negotiations for the renewal of agreements, more notably in relation to the level of fishing opportunities agreed upon, the relevant 
technical provisions applicable and the rules regarding the implementation and monitoring of the multiannual sectoral programmes.  
The main conclusions of the evaluations were as follows343: 
São Tomé e Principe 

  This  is  one  of  the  major  fishing  grounds  for  the  EU  fleet  in  West  Arica  with  36  fishing  opportunities  for  EU  vessels, 

catching tuna and bringing economic and social benefits to both partners. 

  Out  of  the  total  yearly  EU  contribution  of  EUR  675  000  the  sectoral  support  (EUR  325  000  per  year)  positively 

contributed to supporting the artisanal sector and implementation of an electronic catch reporting system. 
  The protocol was evaluated to be coherent with the CFP and ICCAT resolutions and management measures. 

Ivory Coast 

  This  Protocol  is  effective  regarding  its  conservation  component,  and  support  to  the  fisheries  sector  of  both  the  EU  and 

 
 

Ivory Coast, and includes a yearly EU contribution of EUR 680 000. 
It has a good cost-benefit ratio with a total added value of 2.6 euros for every euro invested by the EU.  
It has a good cost-benefit ratio and brings added value to both parties. It is key to maintain this agreement because of the 
importance of the port of Abidjan in terms of landings for the EU fleet and processing capacities (40 000 tons per year). 

Morocco 

  This is one of the major agreements that the EU has with a third country in the field of fisheries. 
  With a contribution by the EU (including from shipowners) of around  EUR 40 million per year, and a maximum of 126 
vessels  benefiting  from  the  agreement,  this  protocol  contributes  strongly  to  the  socio-economic  benefits  of  both  the 
European Union and Morocco.  

  There  is  a  positive  impact  of  the  current  protocol  in  terms  of  sustainable  fishing  and  also  because  it  gives  access  to 
resources not fully exploited by the national fleets under conditions that minimise interactions between fishing vessels.  
It benefits local population, through landings in ports and embarkation of local seamen (about 200 seamen being employed 
on board EU vessels).  

 

341 9 tuna agreements: Cape Verde, Ivory Coast, Sao Tomé and Principe, Madagascar, Senegal, Seychelles, Mauritius, Liberia and Cook Islands; and 3 multi-species 
(mixed) agreements: Mauritania, Morocco and Greenland. 
342 There are 4 organisations targeting the conservation of tuna (CCSBT, IATTC, ICCAT and IOTC), 1 targeting the conversation of salmon (NASCO) and 8 
targeting general fisheries aspects (CCAMLR, GFCM, NAFO, NEAFC, SEFAO, SIOFA, SPRFMO and WCPFC) 
343 More information on these studies can be found: https://ec.europa.eu/fisheries/documentation/studies 

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Forthcoming implementation (2018-2019) 

In 2018, the Commission intends to conclude negotiations in view of the renewal of the SFPA protocols with Cap Verde, Gabon, 
Madagascar, Guinea-Bissau, Morocco, São Tomé and Principe and Ivory Coast. It might also engage negotiations with Gambia, 
Equatorial Guinea and Ghana. 

III. Programme key facts and performance framework 

1. Financial programming 

Operational appropriations 
Total 

80,0 
80,0 

135,6 
135,6 

135,7 
135,7 

127,0 
127,0 

141,1 
141,1 

140,9 
140,9 

142,6 
142,6 

903,0 
903,0 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

127,026 

98,73 % 

136,436 

99,12 % 

141,100 

65,91 % 

131,600 

17,77 % 

Authorised appropriations (*) 

128,076 

99,69 % 

137,486 

100,00 % 

94,535 

98,38 % 

88,297 

26,48 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Sustainable Growth (competitiveness, climate, energy and mobility) 
40% of line 11 03 02 

Priority 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

2.0 

2.2 

4. Performance information 

Specific objectives 

Specific Objective 1: To promote, through active involvement in international organisations, sustainable development for fisheries 
management and maritime governance in line with the CFP objectives, and ensure that fishery resources are maintained above or 
restored above levels capable of producing maximum sustainable yield 
Indicator 1: Conservation measures based on scientific advice adopted, for all species under the purview of RFMOs to which the 
EU is a member 

Baseline 
2012 
49 out of 53 conservation 
measures adopted by RFMOs 
in their annual meeting are in 
line with the best available 
scientific advice. 

Milestone 2017 

95% of the conservation measures adopted by RFMOs in their annual meetings 
are in line with the best available scientific advice. 
Actual results 

55 out of 57 measures were based on best available scientific advice (96%)* 

* Data for GFCM and NEAFC pending. 
Indicator 2: Tools to fight IUU fishing adopted in RFMOs 

Result 
2012 

2014 

2015 

Milestones foreseen 
2016 

2017 

IUU listing in place in all 
relevant RFMOs, port state 
measures adopted only in 
some RFMOs, catch 
documentation system in 
place in CCAMLR for toot 
fish and ICCAT for 
Bluefin tuna 

Revision of 
transhipment 
procedures in 
CCAMLR, Adoption 
of MCS in SIOFA, 
Revision of country-
by-country 
compliance process 
in SPRFMO 

- 

Adoption of 
PSM in 
CCSBT 

Actual results 

Revision of IUU listing 
procedures in CCAMLR 
and a new measure in 
SIOFA, Implementation 
of revamped e-CDS in 
CCAMLR, Revision of 

Revision of IUU 
listing procedures in 
IOTC, CCAMLR 
and CCSBT; new 
Port Inspection 
Scheme in SIOFA; 

2018 
Adoption of 
PSM in IATTC; 
Revision of 
country-by-
country 
compliance 
mechanisms in 
IOTC, 
CCAMLR and 
SPRFMO 

Target 2020 

All conservation measures 
adopted by RFMOs in their 
annual meetings are in line 
with the best available 
scientific advice. 

2019 

Target 2020 

IUU listing procedures 
in place and operational 
in all RFMOs (annual), 
incremental 
introduction of port 
state measures in all 
RFMOs in line with the 
FAO Port State 
Measures until 2020, 
gradual introduction of 
catch documentation 
systems for high value 
species until 2020. 

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Revision of CDS 
requirements in 
CCAMLR; Revision 
of PSM in SEAFO; 
Voluntary Port state 
procedures adopted 
in WCPFC 

MCS measures in 
SEAFO, Revision of 
VMS legal framework 
and selection of VMS 
provider in SPRFMO, 
Adoption of electronic 
PSM in IOTC&IUU 
listing procedures and 
vessels without 
nationality in SIOFA 
and IOTC 

Expenditure related outputs 

Outputs 

1.Annual financial contributions to RFMOs enabling the right of full participation in 
decision making in the RFMO concerned 
2.Contribution to the annual budget of International Tribunal for the Law of the Sea 
(ITLOS)  and  the  International  Seabed  Authority  (ISBA  UN),  convention  on  the 
conversation of migratory species of wild animals (CMS) 
Total 

Budget line 

11 03 02 

11 03 02 

13 

3 

16 

Draft Budget 2019 

Number 

EUR million 

Outputs 

the  right  of  full  participation 

1.Annual  financial  contributions  to  RFMOs 
in 
enabling 
decision making in the RFMO concerned 
2.Contribution 
the  annual  budget  of 
International  Tribunal  for  the  Law  of  the  Sea 
(ITLOS) 
Seabed 
the 
Authority(ISBA UN) 

International 

and 

to 

2014 
12 

12 

2 

2 

F 

P 

F 

P 

Number of outputs foreseen (F) and produced (P) 
2017 
14 

2016 
14 

2018 
14 

2015 
13 

2019 
14 

13 

2 

3 

13 

2 

3 

13 

2 

3 

2 

2 

2 

5.0 

0.2 

5.2 

2020 
14 

Specific  Objective  2: To  establish,  through  Sustainable  Fisheries  Agreements,  a  legal,  economic  and  environmental  governance 
framework for fishing activities carried out by Union fishing vessels in third country waters, in coherence with other EU policies 
Indicator 1: Number of Sustainable Fisheries Agreements in force 

Result 
2013 

10 

2014 
13 

2015 
13 

14 
Indicator 2: Fishing possibilities for EU vessels 

13 

Baseline 
2013 

63vessels for mixed SFAs 

Baseline 
2013 

63vessels for mixed SFAs 

2014 
100 

134 

2014 
100 

112 

2015 
100 

115 

2015 
100 

123 

Milestones foreseen 

2016 
14 
Actual results 
14 

2017 
14 

12 

Milestones foreseen 

2016 
100 
Actual results 
121 

2017 
100 

121 

Milestones foreseen 

2016 
100 
Actual results 
165 

2017 
100 

160 

2018 
15 

2019 
15 

Target 2020 

15 

2018 
100 

2019 
100 

Target 2020 

120tuna vessels 

2018 
100 

2019 
100 

Target 2020 

100 vessels for mixed 
SFAs* 

*Align  fishing  possibilities  granted  through the  SFAs  with  the needs  of  the  EU  fleet,  within  the  constraints  of  the  sustainability  of  the  fishing 
activities 
Indicator  3: Number  of  matrix  adopted  for  the  follow-up  of  the  sectoral  support  (matrix  of  objectives,  indicators  and  targets 
adopted with the third country, for each protocol in force) 

Baseline 
2013 

10 

2014 
13 

13 

2015 
13 

14 

Milestones foreseen 

2016 
14 
Actual results 
14 

2017 
14 

12 

2018 
15 

2019 
15 

Target 2020 

15 

Expenditure related outputs 

Outputs 

1.Financial  contribution  to  all  the  protocols  in  force  providing 
access for EU vessels in third countries waters 
Total 

Budget line 

11 03 01 
and reserve line 

Draft Budget 2019 

Number 

EUR million 

15 

15 

135.6 

135.6 

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Outputs 

1.Financial  contribution  to  all  the  protocols  in 
force  providing  access  for  EU  vessels  in  third 
countries waters 

F 

P 

2014 
13 

13 

Number of outputs foreseen (F) and produced (P) 
2017 
14 

2018 
15 

2016 
14 

2015 
13 

2019 
15 

2020 
15 

14 

14 

12 

5. Programme contribution to the Sustainable Development Goals 

SFPAs contribute to the achievement of the following goals: 

Goal 2. End hunger, achieve food security and improved nutrition and promote sustainable agriculture  
Sustainable Fisheries Partnership Agreements provide the guarantee that only surplus resources will be fished by EU fishing fleet 
operating  in  third  country  waters.  They  therefore  contribute  to  the  sustainable  management  of  fisheries  resources  and  to  food 
security for local population dependent on fishing resources.  This is being reinforced in some SFPAs though provisions regarding 
compulsory landings, or in-kind donation of fish  which also contribute directly or indirectly to improved nutrition in developing 
countries.    

Goal 14. Conserve and sustainably use the oceans, seas and marine resources for sustainable development  
Sustainable Fisheries Partnership Agreements are a tool to help promote long-term resource conservation, good governance and the 
sustainable development of our partners’ fisheries sector. In addition, thanks to the sectoral support, the scientific, administrative 
and technical capacity of local partners for the sustainable development of their fisheries is being reinforced, in coordination with 
development policy tools. SFPAs therefore contribute directly to the sustainable management of fisheries worldwide. 

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HEADING 3: Security and citizenship 

Asylum, Migration and Integration Fund 
Lead DG: HOME 

I. Programme Overview 

What the programme is about? 

The  Asylum,  Migration  and  Integration  Fund  (AMIF)  promotes  the  efficient  management  of  migration  flows  and  the 
implementation, strengthening and development of a common Union approach to asylum and immigration. This Fund contributes 
to the achievement of four specific objectives: 

  Asylum: strengthening and developing the Common European Asylum System by ensuring that EU legislation in this field 

is efficiently and uniformly applied; 

  Legal  migration  and  integration:  supporting  legal  migration  to  EU  States  in  line  with  the  labour  market  needs  and 

promoting the effective integration of non-EU nationals; 

  Return: enhancing fair and effective return strategies, which contribute to combating irregular migration, with an emphasis 

on sustainability and effectiveness of the return process; 

  Solidarity:  making  sure  that  EU  States  which  are  most  affected  by  migration  and  asylum  flows  can  count  on  solidarity 

from other EU States. 

EU added value of the programme 

The  management  of  migration  flows  presents  challenges  which  cannot  be  dealt  with  by  the  Member  States  acting  alone.  Some 
Member States bear a heavy burden due to their specific geographic situation and the length of the external borders of the Union 
that they have to manage. The principle of solidarity and the fair sharing of responsibilities between Member States is therefore at 
the  heart  of  the  common  policies  on  asylum  and  immigration.  The  EU  budget  provides  the  means  to  address  the  financial 
implications of this principle. 

In relation to the external dimension of home affairs, it is clear that the adoption of measures and the pooling of resources at EU 
level will increase significantly the EU leverage necessary to convince third countries to engage with  the EU on those migration 
related issues which are primarily in the interest of the EU and the Member States. 

II. Programme Update 

 Implementation status (2014-2017) 

In 2017, 36 revisions of AMIF national programmes (NP) were made. The purpose of these revisions was to increase the allocation 
under the NPs to support: 

  measures  implementing  the  EU  Action  Plan  on  the  integration  of  third-  country  nationals,  in  particular  those  carried  out  by 

 

 

civil society organisations and local authorities in the context of MS's Migrant Integration Strategy;  
actions in line with the note AMIF-ISF/2017/09 (sent to AMIF-ISF Committee on 7 April 2017) clarifying the allocation of the 
additional amount on return,  where the  Commission has  suggested a  number of concrete actions to be developed under this 
priority 
pledges for resettlement (in December 2017 10 AMIF national programmes (BE, BG, CY, FR, HR, IE, IT, LU, SE, SI) were 
revised to include resettlement pledges; a further 9 national programmes (EE, ES, FI, LT, MT, NL, PT, RO, UK) were in the 
carry-forward and were revised in March 2018 to include resettlement pledges.). 

The legal basis prescribes that the Responsible Authority in the Member State needs to be 'designated' (provisional or full) in order 
to  be  able  to  disburse  funding  that  is  charged  to  AMIF.  In  2017,  the  notifications  of  the  full  designation  of  the  Responsible 
Authorities for AMIF and ISF of Croatia were received. At the end of 2017, there were no pending full designations.  

On  23  June  2017  the  Commission  Decision  on  the  clearance  of  accounts  for  national  programmes  concerning  expenditure 
supported  under  the  Asylum,  Migration  and  Integration  Fund  and  the  Internal  Security  Fund  for  the  2016  financial  year  was 
adopted (C(2017) 4490). The total amount  accepted by the Commission and cleared  for the financial  year  for  AMIF  constituted 
EUR 358,2 million (for 26 Member States).  On 15 January 2018, the Commission Decision C(2018)  238 amending Commission 
Decision C(2017) 4490 was adopted. The amending decision was needed to ensure full transparency and to accurately reflect the 
actions carried out by the Member States in their national programmes in the corresponding budget lines and included the reduction 
of the payment request by Finland for around EUR 2,1 million (to correct for reported 213 persons resettled more than their 2014-
2015 and 2016-2017 pledges) for bringing the total for the 2016 accounts to EUR 356,1 million for 26 Member States.  

In July 2017 the 27 AMIF national programmes were revised to include top-up funding for: 
  measures  implementing  the  EU  Action  Plan  on  the  integration  of  third-  country  nationals,  in  particular  those  carried  out  by 

civil society organisations and local authorities in the context of MS's Migrant Integration Strategy;  

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 

actions in line with the note AMIF-ISF/2017/09 (sent to AMIF-ISF Committee on 7 April 2017) clarifying the allocation of the 
additional amount on return,  where  the  Commission has  suggested a  number of concrete actions to be developed under this 
priority. 

In December 2017 10 AMIF national programmes (BE, BG, CY, FR, HR, IE, IT, LU, SE, SI) were revised to include resettlement 
pledges.  A  further  9  national  programmes  (EE,  ES,  FI,  LT,  MT,  NL,  PT,  RO,  UK)  were  revised  in  March  2018  to  include 
resettlement pledges. 

By  15  February  (or  1  March  upon  justified  request)  2018,  Member  States  have  submitted  their  annual  accounts  covering  the 
financial  year 2017 and by  31 March 2018, the Annual Implementation  Reports  were  submitted.  No Member State  has declared 
zero expenditure; all Member States together have requested a total amount of EUR 602,2 million. 
As  of  16  January  2018,  under  AMIF  Emergency  Assistance,  EUR  630  million  out  of  EUR  973  million  allocated344  has  been 
awarded to Member States under migratory pressure for addressing the migration and refugee crisis. 

With  regard  to  Union  actions,  actions  under  the  2014  and  2015  annual  work  programmes  were  implemented  in  2017.  Grant 
agreements were concluded for actions under the 2016 annual work programmes and their implementation has started. Data on the 
grant  agreements  concluded  in  2017  have  been  inserted  in  the  output  tables  per  Specific  Objective.  The  AMIF  2017  work 
programme  for  Union  actions  was  adopted. The  calls  for  proposals  foreseen  under  the  work  programme  (on  integration  of  third 
country nationals and on information and awareness-raising campaigns about the risks of irregular migration) were published and 
beneficiaries of direct award of grants foreseen under the work programme were invited to submit their grant applications. 

The  AMIF  continued  to  support  the  European  Migration  Network  (EMN)  and  the  grants  related  to  the  EMN  2017-2018  work 
programme were concluded. 

Key achievements 

In  the  annual  accounts  covering  the  financial  year  2017,  1  401  projects  have  been  declared  under  the  AMIF  (372  in  the  area  of 
asylum, 853 in the area of legal migration and integration and 176 projects in the area of return). 

Also, Member States have resettled (*) 24 844 people, have relocated (*) 24 523 persons and have granted legal admission from 
Turkey to (**) 17 562 persons with the support of AMIF.  

In  2017,  45  061  persons  were  effectively  returned.  Of  the  persons  effectively  returned,  16  049  were  returned  through  voluntary 
return programmes whereas 29 012 were removed, in accordance with the standards laid down in Union law.  

As  from  2014  and  in  the  context  of  the  projects  run  by  the  Member  States  supported  by  the  AMIF,  the  number  of  target  group 
persons provided with assistance through integration measures in the framework of national, local and regional strategies amounts 
to 3,4 million and the number of target group persons provided with assistance through projects in the field of reception and asylum 
systems amounts to 1,03 million. 

As of 16 January 2018, 14 MS (AT, BG, BE, HR, CY, FI, FR DE, GR, HU, IT, NL, SI, SE) most affected by the migration and 
refugee  crisis  have  received  additional  support  (EUR  630  million)  via  AMIF  Emergency  Assistance.  It  represents  a  total  of  50 
projects. In 2017 the support was given mainly to Bulgaria, Greece, Italy. 

(*) Source: AMIF Annual Accounts 2017. (**) Source: AMIF Annual Implementation Reports 2017. 
In the area of the Common European Asylum System, an amount of EUR 75.3 million was spent in 2017 by the Member States. 
This amounted to a total (2014-2017) of EUR 144,3 million which represented an increase of 109 % of the amount spent in 2014, 
2015 and 2016 together (EUR 69 million). In 2017, 297 083 asylum seekers were provided with assistance through various projects 
in the field of reception and asylum systems (e.g. legal aid and representation, social counselling, targeted services to vulnerable 
groups, etc). 

In  the  area  of  legal  migration  and  integration  an  amount  of  EUR  82,1  million  was  spent  by  the  Member  States  in  2017  which 
amounted to a total (2014-2017) of EUR 140,6 million. This represents an increase of 140.3 % when compared to the EUR 58,5 
million in 2014, 2015 and 2016 together. In 2017, 1,3 million third-country nationals were assisted through integration measures in 
the framework of national, local and regional strategies. A wide range of actions were undertaken  such as education and training, 
including language training and preparatory actions to facilitate access to the labour  market, advice  and assistance in the area of 
housing, means of subsistence and administrative and legal guidance, medical and psychological care. 

By 2017, an amount of EUR 100,2 million was spent by the Member States for projects in the area of return This amounted to a 
total (2014-2017) of EUR 233,6 million which represents an increase of 75 % of the amount spent in 2014, 2015 and 2016 together 
(EUR 133,4 million).  

Evaluations/studies conducted 

At  the  start  of  the  programming  exercise  for  the  AMIF,  policy  dialogues  were  organised.  Through  these  dialogues  a  common 
understanding between the Commission and the respective Member State was established regarding the main challenges  / funding 
priorities that would constitute the maximum EU value added. The agreed minutes of these policy dialogues formed the basis for 
the joint programming exercise. 

344 Since the beginning of 2014 

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End of 2017, the Member States submitted to the Commission an interim evaluation report on the implementation of actions and 
progress towards achieving the objectives of their national programmes. On this base and taking into account the mid-term review 
exercise,  the  Commission  should  submit  to  the  European  Parliament,  to  the  Council,  to  the  European  Economic  and  Social 
Committee  and  to  the  Committee  of  the  regions  an  interim  evaluation  report  on  the  implementation  of  the  legal  bases,  by  June 
2018.  

The interim evaluation of the Asylum Migration and Integration Fund (AMIF) covered the years 2014 through 2017 and assessed 
AMIF's  current  progress  towards  its  objectives  against  the  following  evaluation  criteria:  effectiveness,  efficiency,  relevance, 
coherence,  complementarity,  sustainability,  EU  added  value,  simplification  and  reduction  of  administrative  burden.  During  the 
implementation  period  under  review,  the  migration  conditions  changed  drastically  due  to  the  sudden  and  unexpected  increase  in 
migratory pressure, putting an enormous strain on the Member States and the Union. 

The resources mobilised by the AMIF amounted initially at EUR 3 137 million, divided between national programmes (EUR 2 752 
million) and direct management such as Union actions and Emergency assistance (EUR 385 million). This budget was substantially 
increased through top-ups to support relocation and resettlement, integration and return, the resources linked to the revision of the 
Dublin Regulation and in order to show solidarity and share the burden with the most affected MS, amounting by the end of 2017 
to a total of EUR 6 888 million.  

The  preliminary  results  of  the  evaluation  point  that  AMIF  has  played  an  important  role  in  improving  the  asylum  systems  and 
strengthening  reception  capacity  in  the  Member  States,  and  because  of  the  migration  crisis,  the  area  of  asylum  was  especially 
prioritised in many countries. The Fund also paid special attention to the most vulnerable, particularly the unaccompanied minors. 
AMIF has made good progress on integration issues although limited progress has been made on legal migration so far. AMIF also 
proved to ensure coherence,  complementarity and  strategic alignment  with other  financial instruments and  with relevant key EU 
policy  strategies.  Overall  AMIF  has  generated  important  EU  added  value,  despite  the  relatively  small  size  of  the  funds  in 
comparison with the important challenges imposed by the crisis that occurred during this period. The main EU level benefit arises 
from  the  transnational  dimension  of  certain  actions  but  also  the  burden-sharing  EU  level  benefit,  supported  in  particular  by  the 
Emergency  assistance  and  the  relocation  mechanism.  Sustainability  has  been  thoroughly  considered  by  AMIF  through  checks 
mechanisms  set  in  place  at  programming  and  implementation  stages  across  most  instruments,  although  to  a  lesser  extent  by  the 
Emergency  assistance  due  to  the  nature  of  the  actions.  Overall,  most  of  the  innovative  measures  (e.g.  simplified  cost-options, 
multiannual programming) are considered particularly beneficial by beneficiaries and appear to have achieved simplification. 

Room for improvement appears to exist, especially in what concerns the internal coherence of the fund (among AMIF management 
modes) because there is little awareness among beneficiaries about the actions and projects realised within the AMIF framework. 
Similarly,  the  administrative  burden  appeared  to  be  the  main  factor  that  undermined  the  efficiency,  including  some  control 
measures that appeared too stringent even if AMIF has led to simplification relative to the past. There is limited evidence,  on the 
other hand, of increased capacity to develop, monitor and evaluate asylum systems, and, while the EU resettlement programme has 
been  making  big  progress  so  far,  there  is  limited  contribution  towards  the  establishment,  development  and  implementation  of 
national  resettlement  programmes.  Finally,  the  monitoring  and  evaluation  system  brought  by  AMIF  in  line  with  the  Better 
Regulation guidelines needs further improvement, including in terms of definitions of its indicators and the collection of data. 

As regards the mid-term review, the Member States contributed to this exercise by carrying out a needs assessment in light of the 
policy objectives for the remaining period to prepare the Mid-Term Review of AMIF and ISF. The Commission have completed 
the assessment of the identified needs in December 2017, the conclusions of which were sent to the Member States in December 
2017/January  2018.  Bilateral  dialogues  have  been  organized  with  the  Member  States  in  the  1st  quarter  of  2018  to  conclude  the 
exercise.  For  a  number  of  MS  (Spain,  Italy,  Greece,  Croatia,  Bulgaria,  Hungary),  the  analysis  of  the  MTR  resulted  in  the 
identification of important funding gaps in the NPs. For these MS, specific action plans are envisaged to be financed, among  other 
mechanisms (with EMAS funding).  

Furthermore, by 31 December 2023, the Member States will provide an ex-post evaluation report on the effects of actions under 
their national programmes and the Commission will present by 30 June 2024 an ex-post evaluation report on the effects of the legal 
bases.  

Forthcoming implementation (2018-2019)  

It is expected that, following the information received in the 2017 AMIF Annual Accounts and Annual Implementation Reports, the 
implementation  of  the  Funds  will  gain  further  momentum.  DG  HOME  intends  to  steer  the  Member  States  to  enhance  the 
implementation  of  the  programme,  among  others  through  the  participation  to  national  monitoring  committee  meetings,  bilateral 
discussions, monitoring visits, messages at political level, etc. 

Grant  agreements  under  the  AMIF  2017  annual  work  programme  for  Union  actions  will  be  concluded  in  2018  and  the 
implementation  of  the  actions  will  start.  The  AMIF  2018  annual  work  programme  for  Union  actions  will  be  adopted  and,  in 
continuation  of  previous  years,  it  is  expected  to  focus  on  the  external  dimension  of  the  asylum  and  migration  policy  (Regional 
Development and Protection Programmes, awareness raising campaigns on the risks of irregular migration and contribution to the 
EUTF) and on the integration of third-country nationals. 

Member States facing migratory pressure will continue to be supported via the AMIF Emergency Assistance. 

The European Migration Network (EMN) will be supported under the EMN 2017-2018 work programme. 

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III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 516/2014 of the European Parliament and of the Council of 16 April 2014 establishing 
the  Asylum,  Migration  and  Integration  Fund,  amending  Council  Decision  2008/381/EC  and  repealing 
Decisions No 573/2007/EC and No 575/2007/EC of the European Parliament and of the Council and Council 
Decision 2007/435/EC 

Financial Programming (EUR million) 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

3 137,0 

2014 

Total 
Programme 
16,6 
2,3 
Administrative support 
7 046,6 
1 796,6 
Operational appropriations 
Total 
7 063,3 
1 799,0 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

2,2 
228,4(*) 
230,5 

2,5 
1 118,3 
1 120,8 

2,5 
1 612,0 
1 614,5 

2,5 
716,7 
719,2 

2,5 
953,8 
956,3 

2,2 
620,9 
623,0 

DB2019 

2018 

2016 

2015 

2017 

2020 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
1 614,488 

Impl. Rate 
87,18 % 

PA 
574,509 

Impl. Rate 
98,94 % 

CA 
719,122 

Impl. Rate 
47,31 % 

PA 
593,525 

Impl. Rate 
31,02 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

1 660,390 

93,92 % 

60,18 % 

34,14 % 

85,63 % 

962,237 

616,077 

631,614 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

75% of the population aged 20-64 should be employed 

Part of line 18 03 01 02. It corresponds to more or less 50% of the amount for the output "projects related to integration measures, 
both at local and regional level", under specific objective 2 

Gender mainstreaming 
The  AMIF  Regulation  (Regulation  (EU)  No  516/2014)  stipulates  that  eligible  actions  need  to  take  account  of  the  human  rights-
based approach to the protection of migrants, refugees and asylum seekers and should, in particular, ensure that special attention is 
paid to, and a dedicated response is provided for, the specific situation of vulnerable persons, in particular women, unaccompanied 
minors and other minors at risk. Support for third country national victims of trafficking is ensured on this ground. 

4. Performance information 
General objectives 

General Objective 1: to contribute to the efficient management of migration flows and to the implementation, strengthening and 
development  of  the  common  policy  on  asylum,  subsidiary  protection  and  temporary  protection  and  the  common  immigration 
policy, while fully respecting the rights and principles enshrined in the Charter of Fundamental Rights of the European Union 
Indicator  1: Effectiveness  of  return  policy  as  reflected  by  the  ratio  between  the  number  of  irregular  migrants  returned  to  their 
country of origin compared to return decisions issued 

Baseline 
2013 
39,2 % (166 975 effected 
returns / 425 875 issued 
with a return decision**)  
(source: Eurostat)345 

2014 

2015 

2016 

2017 
Increased ratio 

Milestones foreseen 

Actual results 

41,75 % 

42,7 %* 

50,6 %* 

40,9 %* 

2018 

2019 

Target 2020 

Increased ratio 

* Data are revised on a continuous basis according to the most recently updated data provided by the countries.  
** For accuracy purposes, the indicator should be called: "Effectiveness of return policy as reflected by the ratio between the total number of 
irregular migrants returned compared to return decisions issued". 
Indicator 2: Ratio voluntary/forced return 

Baseline 
2012 

45,5 % 
(source: Eurostat) 

2014 

2015 

2016 

2017 
Increased ratio 

Milestones foreseen 

2018 

2019 

Target 2020 

Actual results 

Increased ratio 

58,4% 

80,3 % 

117,3 %* 

140,6 %* 

345 The baseline figure 2013 has evolved from the time when it was included as baseline. According to Eurostat data, in 2013: 50,15 % (215 885 third country 
national returned following an order to leave / 430 450 third country nationals ordered to leave) (source: Eurostat). 

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* Data are revised on a continuous basis according to the most recently updated data provided by the countries 
Indicator 3: Difference in employment rates of third-country national (TCN) compared to that of EU nationals 

Baseline 
2013 

11,9 points 

2014 

2015 

2016 

2017 
12 points 

2018 

2019 

Milestones foreseen 

Actual results 

Employment  rate  of  non-
EU  citizens  has  decreased 
from  54,9  %  in  2011  to 
52,6 % in 2013, whilst the 
employment  rate  for  EU 
nationals  remains  stable  at 
64,5 % (source: Eurostat) 

13,4 points 
Third-country 
nationals: 
56,3 % 
Host-country 
nationals: 
69,7 % 

14 points 
Third-country 
nationals:  
56,7 % 
EU nationals: 
70,7 % 

13,6 points 
Third-country 
nationals:  
53,6 % 
EU nationals: 
67,2 % 

Not yet 
available 

Target 2020 

10 points 
Given the migratory 
context/refugee crisis, 
this figure will not 
decrease drastically over 
the short term. 
Integration efforts by 
MS supported by the EU 
could produce an effect 
as from 2017/2018 
unless the overall EU 
economic situation 
deteriorates. 

Indicator 4: Convergence of recognition rates for international protection by Member States for asylum applicants from the same 
third country 

Baseline 
2013 
The standard deviation in the 
recognition rates in the Member 
States for asylum seekers from 
Afghanistan is 20,1346  (the higher 
the standard deviation, the higher 
the difference between MS's 
recognition rate in comparison to 
the average recognition rate) 
Calculations based on Eurostat data 

Specific objectives 

2014 

2015 

2016 

Milestones foreseen 
2017 
Lower (increased 
convergence) in 
comparison with baseline 

Actual results 

25,2 

27,3 

28,2 

29 

2018 

2019 

Target 2020 

Lower (increased 
convergence) 

Specific  Objective  1: to  strengthen  and  develop  all  aspects  of  the  Common  European  Asylum  System,  including  its  external 
dimension 
Indicator 1: Number of target group persons provided with assistance through projects in the field of reception and asylum systems 
supported under the Fund 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
460 038 

2018 

2019 

Milestones foreseen 

148 045* 

299 697* 

352 777** 

297 083** 

Actual results 

Target 2020 

808 477** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  2: Capacity  (i.e.  number  of  places)  of  new  reception  accommodation  infrastructure  set  up  in  line  with  the  common 
requirements for reception conditions set out in the Union acquis and of existing reception accommodation infrastructure improved 
in accordance with the same requirements as a result of the projects supported under the Fund and percentage in the total reception 
accommodation capacity 

Baseline 

0 

Milestones foreseen 

2014 

0 

2015 

2016 

2017 
18 836 
21,9 % 

1 534* 

1 623* 

5 600** 

7 557** 

Actual results 

2018 

2019 

Target 2020 

35 172** 
40,9 % 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 3: Number of persons trained in asylum-related topics with the assistance of the Fund, and that number as a percentage 
of the total number of staff trained in those topics 

Baseline 

0 

2014 

0 

0* 
0 % 

Milestones foreseen 

2015 

2016 

2017 
10 782 
28 % 

914* 
43 % 

Actual results 

7 179** 
62 % 

12 846** 
60 % 

346 For Member States with at least 100 decisions regarding asylum seekers from Afghanistan 

2018 

2019 

Target 2020 

21 325** 
56 % 

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* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  4: Number  of  country-of-origin  information  products  and  fact-finding  missions  conducted  with  the  assistance  of  the 
Fund 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
36 378 

2018 

2019 

Milestones foreseen 

0* 

4 982* 

15 478** 

298 966** 

Actual results 

Target 2020 

72 756** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 5: Number of projects supported under the Fund to develop, monitor and evaluate asylum policies in Member States 

Baseline 

0 

2014 
0 

1* 

Milestones foreseen 

2015 

2016 

2017 
72 

2018 

2019 

Actual results 

40* 

13** 

15** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 6: Number of persons resettled with support of the Fund 

Baseline 
2012 

0 

2014 
7 269 

2015 

2016 

2017 
30 139 

2018 

2019 

Milestones foreseen 

3 766* 

12 423* 

8 655* 

24 844* 

Actual results 

* Provided in the annual accounts sent by Member States on 15 February each year 

Target 2020 

143** 

Target 2020 
(2014-2020) 

34 139 

Expenditure related outputs 

Outputs 

Projects aiming at improving reception and asylum systems. 
Projects  aiming  at  improving  Member  States'  capacity  to  develop,  monitor  and  evaluate  their  asylum 
policies. 
Persons pledged for resettlement with the lump sum. 
Projects  under  Union  actions  aiming  at  strengthening  and  developing  the  Common  European  Asylum 
System. 
Persons benefitting from the voluntary humanitarian admission scheme - Turkey 
Total (projects) 

Budget line 

Draft Budget 2019 
Number  EUR million 

18 03 01 01 

955 

301,8 

18 03 01 01 

23 

18 03 01 01 

633 

18 03 01 01 

18 03 01 01 

13 

0 

Outputs 

P 

F 
P 
F 

Projects  aiming  at  improving  reception  and 
asylum systems. 
Projects  aiming  at  improving  Member  States' 
capacity  to  develop,  monitor  and  evaluate  their 
asylum policies. 
Persons  pledged  for  resettlement  with  the  lump 
sum. 
Projects  under  Union  actions  aiming  at 
strengthening  and  developing 
the  Common 
European Asylum System. 
Persons 
humanitarian admission scheme - Turkey 
(*) Source: Annual Implementation Reports 2016 from the Member States 
(**) Source: AMIF Annual Accounts 2017.  

7 362 
60 
10 

benefitting 

voluntary 

n/a 
n/a 

F 
P 
F 

from 

F 
P 

the 

P 

0 

0 

6 

n/a 
n/a 

6 

9 312 
3 215 
10 

2014 
81 
0 
20 

Number of outputs foreseen (F) and produced (P) 
2017 
351 
337 
16 

2016 
450 
191 
20 

2018 
506 

2015 
240 
109 
20 

23 

23 

2019 
955 

9 

18 

7 700 

5 765 

1 462 

12 423 (*)  24 844(**) 

11 

633 

13 

12 

5 

n/a 
n/a 

9 

3 

13 000 
n/a 

17 000 

0 

84 000 

19,1 

7,6 

23,6 

0 
352,1 

2020 
500 

20 

1 000 

3 

Justification of changes to the financial programming and/or to the performance information 
As  noted  in  Commission  contribution  to  the  EU  Leaders'  thematic  debate  on  a  way  forward  on  the  external  and  the  internal 
dimension of migration policy" (COM (2017) 820 final), "Managing migration requires a major investment. At the time when the 
current  generation  of  EU  funding  instruments  were  developed  in  2011,  migration  had  a  much  lower  level  of  priority  than  it  has 
today.  EU  budget  support  has  proved  necessary  to  help  Member  States  under  most  pressure  to  address  new  needs  for  border 
control, run hotspots, and to provide the necessary humanitarian support to refugees and migrants, including shelter and health care. 
Well-designed, flexible and streamlined instruments to address migration challenges will be necessary in the coming years." 

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It is therefore crucial that EU Home  Affairs Funds are substantially reinforced in the next years, to adequately cover at least the 
needs of those "frontline" EU Member States bearing the brunt of migratory pressure in EU. Migratory flows, although much lower 
than in the height of the migratory crisis two years ago, are still very high and the pressure at the external borders remains unabated, 
with high numbers of migrants stranded in neighbouring countries like Turkey, Libya or Morocco. 

As  the  implementation  of  the  National  Programmes  (NP)  has  accelerated  over  the  past  two  years,  recent  needs  assessment 
conducted in the context of the  Mid-Term Review (MTR)347 showed clearly that the  national allocation of  some  Member States 
(namely Greece, Italy, Spain, Bulgaria and Croatia) will not be sufficient to meet the EU policy priorities/challenges in the field of 
Asylum  and  border  management.  Concerning  specific  actions  under  AMIF  Asylum,  Greece  highlighted  the  need  for  substantial 
extra financial support to ensure the functioning of accommodation facilities both on the mainland and in the islands, and related 
adequate reception services 

A number of output indicators that are produced in the first years appear relatively low. This is explained by two factors; (1) the 
delay  in  the  implementation  of  the  national  programmes,  due  to  the  late  adoption  of  the  legal  bases  (in  May  2014)  and  the 
subsequent programming exercise to agree on the national programmes with the Member States and (2) by the fact that the baseline 
(forecast outputs) was calculated on the number of SOLID projects (2007-2013 programming period) that was available in 2013. 
The number of projects does not always fully represent the rate of implementation, since projects may be large in financial volume 
and can be multiannual (whereas the eligibility period under SOLID Annual Programmes was more limited). 

Specific Objective 2: to support legal migration to the Member States in accordance with their economic and social needs, such as 
labour market needs, while safeguarding the integrity of the immigration systems of Member States, and to promote the effective 
integration of third-country nationals 
Indicator 1: Number of target group persons who participated in pre-departure measures supported under the Fund 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
117 210 

2018 

2019 

Milestones foreseen 

0* 

725 072* 

10 950** 

12 377** 

Actual results 

Target 2020 

233 920** 

* Provided in the annual implementation reports sent by Member States on 31 March 2017 - Germany data only 
** Based on latest data submitted by Member States as of 31/03/2018 – Germany data only. 
Indicator 2: Number of target group persons assisted by the Fund through integration measures in the framework of national, local 
and regional strategies 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
1 216 798 

2018 

2019 

Milestones foreseen 

34 791* 

279 004* 

1 694 337** 

1 341 744** 

Actual results 

Target 2020 

2 425 831** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 3: Number of local, regional and national policy frameworks/measures/tools in place for the integration of third-country 
nationals and involving civil society and migrant communities, as well as all other relevant stakeholders, as a result of the measures 
supported under the Fund 

Baseline 

0 

2014 
0 

7* 

Milestones foreseen 

2015 

2016 

2017 
1 073 

2018 

2019 

Actual results 

401* 

1 912** 

2 494** 

Target 2020 

2 222** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  4: Number  of  cooperation  projects  with  other  Member  States  on  the  integration  of  third-country  nationals  supported 
under the Fund 

Baseline 

0 

2014 
0 

0* 

Milestones foreseen 

2015 

2016 

2017 
31 

2018 

2019 

0* 

Actual results 
8** 

17** 

Target 2020 

62** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 5: Number of projects supported under the Fund to develop, monitor and evaluate integration policies in Member States 

Baseline 

0 

2014 
0 

Milestones foreseen 

2015 

2016 

2017 
56 

2018 

2019 

Target 2020 

133** 

347 Based on desk research, interviews with Member States and monitoring visits. 

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Draft Budget 2019 

Number 

EUR million 

5 

379 

48 

10 

8,65 

82,61 

12,52 

17,7 

121,48 

2020 
10 

500 

100 

741 

62 

379 

48 

18 

10 

10 

1* 

4* 

28** 

17** 

Actual results 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 

Expenditure related outputs 

Outputs 

Projects aiming at facilitating legal migration and increasing the number and quality of pre-
departure measures. 
Projects related to integration measures, both at local and regional level. 
Projects aiming at increasing the capacity of Member States to support legal migration to the 
Union and to promote the effective integration third-country nationals. 
Projects under Union actions within Asylum and Migration Fund aiming at supporting legal 
migration to the Union and promoting the effective integration of third-country nationals. 
Total 

Budget line 

18 03 01 02 

18 03 01 02 

18 03 01 02 

18 03 01 02 

Number of outputs foreseen (F) and produced (P) 
2017 
17 

2016 
8 

2018 
6 

2015 
7 

2019 
5 

Outputs 

Projects  aiming  at  facilitating  legal  migration 
and  increasing  the  number  and  quality  of  pre-
departure measures. 
Projects related to integration  measures, both at 
local and regional level. 
Projects  aiming  at  increasing  the  capacity  of 
Member States to support legal migration to the 
Union  and  to  promote  the  effective  integration 
third-country nationals. 
Projects  under  Union  actions  aiming  at 
supporting  legal  migration  to  the  Union  and 
promoting  the  effective  integration  of  third-
country nationals. 

F 

P 

F 
P 
F 

P 

F 

P 

2014 
7 

0 

81 
0 
27 

0 

10 

0 

1 

240 
97 
45 

21 

10 

0 

5 

450 
495 
80 

44 

10 

17 

8 

929 
733 
165 

110 

30 

25 

Specific  Objective  3: to  enhance  fair  and  effective  return  strategies  in  the  Member  States  which  contribute  to  combating  illegal 
immigration, with an emphasis on sustainability of return and effective readmission in the countries of origin and transit 
Indicator 1: Number of persons trained on return-related topics with the assistance of the Fund 

Baseline 

0 

2014 
0 

40* 

Milestones foreseen 

2015 

2016 

2017 
12 322 

2018 

2019 

Actual results 

993* 

4 026** 

4 085** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 2: Number of returnees who received pre or post return reintegration assistance co-financed by the Fund 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
82 202 

2018 

2019 

Milestones foreseen 

7 614* 

20 135* 

21 224** 

16 218** 

Actual results 

Target 2020 

23 645** 

Target 2020 

170 920** 

* Provided in the annual implementation reports sent by Member States on 31 March each year 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 3: Number of returnees whose return was co-financed by the Fund, persons who returned voluntarily and persons who 
were removed 

Baseline 

0 

Milestones foreseen 

2014 

2015 

2016 

0 

2017 
329 070 
( 219 640 voluntary 
returns and 109 430 
forced returns) 

Actual results 

5 904 (4 522 
voluntary 
returns and 
1 382 forced 
returns*) 

39 888 (30 466 
voluntary 
returns, 
9 422 forced 
returns*) 

35 335** 
(26 264** 
voluntary returns, 
9 071** forced 
returns*) 

45 061** (16 049** 
voluntary, 29 012** 
forced returns) 

2018 

2019 

Target 2020 

645 978** 
of which: 
430 698** voluntary 
returns and 215 280** 
forced returns 

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* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 4: Number of monitored removal operations co-financed by the Fund 

Baseline 

0 

2014 
0 

10* 

Milestones foreseen 

2015 

2016 

2017 
91 130 

2018 

2019 

Actual results 

4 635* 

6 098** 

6 737** 

Target 2020 

184 261 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 5: Number of projects supported under the Fund to develop, monitor and evaluate return policies in Member States 

Baseline 

0 

2014 
0 

2* 

Milestones foreseen 

2015 

2016 

2017 
17 

2018 

2019 

4* 

Actual results 
4** 

9** 

Target 2020 

44** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 

Expenditure related outputs 

Outputs 

Budget line 

Projects aiming at increasing the number and quality of measures accompanying return procedures.  18 03 01 02 
18 03 01 02 
Projects aiming at increasing the number and quality of return measures. 
Projects aiming at increasing the practical cooperation between Member States and the capacity of 
Member States to develop effective and sustainable return policies. 
Projects under Union actions aiming at enhancing fair and effective return strategies in the MS  
Total 

18 03 01 02 

18 03 01 02 

Draft Budget 2019 

Number 
42 
72 

EUR million 
40,9 
91,57 

22 

8 

Outputs 

Projects  aiming  at  increasing  the  number  and 
quality  of  measures  accompanying 
return 
procedures. 
Projects  aiming  at  increasing  the  number  and 
quality of return measures. 
the  practical 
Projects  aiming  at 
cooperation  between  Member  States  and  the 
capacity  of  Member  States  to  develop  effective 
and sustainable return policies. 
Projects  under  Union  actions  aiming  at 
enhancing  fair  and  effective  return  strategies  in 
the Member States. 

increasing 

F 

P 

F 
P 
F 

P 

F 

P 

2014 
40 

0 

54 
0 
14 

0 

10 

2 

Number of outputs foreseen (F) and produced (P) 
2017 
114 

2018 
53 

2016 
50 

2015 
45 

2019 
42 

41 

70 
48 
18 

18 

10 

1 

51 

85 
98 
22 

5 

10 

6 

80 

194 
85 
50 

7 

4 

29 

90 

23 

72 

22 

25 

8 

5 

4,18 

23,07 
159,72 

2020 
60 

100 

27 

Specific  Objective  4: to  enhance  solidarity  and  responsibility-sharing  between  the  Member  States,  in  particular  with  those  most 
affected by migration and asylum flows, including through practical cooperation 
Indicator 1: Number of applicants and beneficiaries of international protection transferred from one Member State to another with 
support of the Fund 

Baseline 

0 

Milestones foreseen 

2014 

2015 

2016 
160 000 

Actual results 

2017 

2018 

2019 

0 

0 

13 546* 

31 503** 

Target 
2014 - 2020 

160 000*** 

* 13 546 relocations took place since the entry into force of the Council Decisions on relocation  (9 610 from Greece and 3 936 from Italy), as 
communicated in the Tenth Report on relocation and resettlement of 2/03/2017 (COM(2017)202). 
** 31 503 relocations took place since the entry into force of the Council Decisions on relocation (21 238 from Greece and 10 265 from Italy), as 
communicated in Progress Report on the European Agenda on Migration of 15/11/2017 (COM(2017)669). 
*** this figure does not take into account the persons transferred in the framework of the Dublin reform. 
Indicator 2: Number of cooperation projects with other Member States on enhancing solidarity and responsibility sharing between 
the Member States supported under the Fund 

Baseline 

0 

2014 
0 

2015 

2016 

2017 
2 

2018 

2019 

Milestones foreseen 

Actual results 

Target 2020 

4** 

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0 
0 
25,0 
460,0 
485,0 

2020 
1 

0 

7 

0* 

0* 

0** 

0** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Expenditure related outputs 

Outputs 

Projects addressing relocation. 
Persons pledged for relocation with the lump sum. 
Emergency actions addressing migratory pressure. 
Persons transferred in the framework of the Dublin reform 
Total (projects) 

Budget line 

18 03 01 01 
18 03 01 01 
18 03 01 01 
18 03 01 01 

Draft Budget 2019 

EUR million 

Number 
0 
0 
2 
200 000 

Outputs 

Projects addressing relocation. 

Persons pledged for relocation with the lump sum. 

F 
P 
F 
P 
F 
P 
F 
Persons transferred in the framework of the Dublin 
reform 
P 
(*) Source: Annual implementation report 2016 covering the accounting period (16/10/2015 – 15/10/2016). 
(**) Source: AMIF Annual Accounts 2017.  

Emergency actions addressing migratory pressure. 

20 
11 
150 000 
n/a 

30 
20 
n/a 
n/a 

2014 
1 
0 
0 
0 
7 
0 
n/a 
n/a 

2015 
1 
0 
0 
4 
7 
17 
n/a 
n/a 

Number of outputs foreseen (F) and produced (P) 
2017 
0 
1 
0 

2016 
1 
1 
160 000 
6 467 (*)  53 320 **) 

2018 
0 

0 

0 

2019 
0 

8 

2 

200 000 

200 000 

200 000 

Justification of changes to the financial programming and/or to the performance information 
The financial resources accompanying the proposed new Dublin Regulation should cover partially the transfer of asylum applicants 
from  one  Member  State  to  another,  the  reception  places  and  the  running  costs  of  reception  centres.  In  line  with  the  legislative 
financial statement, an amount of EUR 460 million is foreseen in the 2019 financial programming. DG HOME asks to maintain this 
amount in the Draft Budget 2019. Pending the outcomes of the negotiations on the adoption of the new Dublin Regulation, a certain 
level of flexibility in the 2019 budget shall be maintained, allowing the mobilisation of this amount to respond to the growing needs 
in terms of providing legal pathways to international protection in the EU, mainly through resettlement and relocation. 
5. Programme contribution to the Sustainable Development Goals 
Migration  forms  integral  part  of  the  2030  Sustainable  Development  Goals  (SDGs);  it  is  included  for  the  first  time  in  the  global 
development  framework,  recognising  well-managed  migration's  integral  role  in  and  immense  contribution  to  sustainable 
development.  In  the  context  of  the  refugee  crisis,  work  on  "Priority  8.  Towards  a  new  policy  on  migration",  as  outlined  in  the 
Communication 'Next steps for a sustainable European future' (COM(2016) 739)  supports progress related to several SDGs. The 
world  is  facing  the  highest  number  of  refugee  flows  since  the  end  of  the  Second  World  War,  with  more  than  65  million  people 
forcibly  displaced  worldwide.  In  this  context,  a  new  comprehensive  migration  policy  is  needed,  promoting  regular  channels  and 
tackling  irregular  migration  flows,  thereby  saving  lives,  preserving  human  dignity  and  helping  to  support  growth  and  reduce 
inequality (e.g. SDG 1 and 10). Migration management is a shared responsibility, not only among EU Member States, but also vis-
à-vis  non-EU  countries  of  transit  and  origin.  The  European  Agenda  on  Migration  and  its  follow-up  actions,  including  the  new 
Partnership  Framework  with  Third  Countries,  provide  such  a  comprehensive  approach  grounded  in  the  respect  of  fundamental 
rights, trust, solidarity and mutual accountability. The Asylum Migration and Integration Fund contributes to such a comprehensive 
approach, including support for priority actions outlined in the European Agenda on Migration (including its external dimension). 
6. Information about financial instrument(s) and trust fund(s) financed by the Programme 
As of 2016, AMIF contributes to the EU Emergency Trust Fund for stability and addressing root causes of irregular migration and 
displaced  persons  in  Africa.  The  initial  contribution  of  EUR  5  million  to  the  Trust  Fund  foreseen  under  the  AMIF  2017  annual 
work  programme  for  Union  actions  was  reinforced  up  to  a  total  of  EUR  77  million  in  order  to  address  funding  gaps  identified 
especially  for  the  North  Africa  window  of  the  EUTF,  and  where  needs  on  the  root  causes  of  migration  are  more  pressing  and 
relevant for DG HOME priorities. Furthermore, in 2018, DG HOME contribution to the Trust Fund was increased from an initial 
EUR 5 million to EUR 23 million. It will be reported under the expenditure related output for the Union Actions in the Specific 
Objective 3 "to enhance fair and effective return strategies in the Member States which contribute to combating illegal immigration, 
with an emphasis on sustainability of return and effective readmission in the countries of origin and transit". 

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HEADING 3: Security and citizenship 

Internal Security Fund 
Lead DG: HOME 

I. Programme Overview 

What the programme is about? 

The Internal Security Fund (ISF) promotes the implementation of the Internal Security Strategy, law enforcement cooperation and 
the management of the Union's external borders. The ISF is composed of  two instruments, ISF Borders and Visa and ISF Police. 
ISF Borders and Visa's main objective is to contribute to ensuring a high level of security in the Union, while safeguarding the free 
movement within it and facilitating legitimate travel. This includes effective processing of Schengen visas by supporting a common 
visa policy and achieving a uniform and high level of control of the external borders, with the twofold aim of ensuring the smooth 
crossing of the external borders by legitimate travellers and detecting illegal movements, thus contributing to effectively managing 
irregular migration. The ISF Police component focuses on the fight against crime and risk and crisis management, in particular by 
supporting  actions  to  prevent  and  fight  terrorism  and  radicalisation  (both  on  online  and  on  the  ground),  as  well  as  increasing 
resilience  and  protection  of  public  spaces.  It  also  contributes  to  prevention  of  and  fight  against  serious  and  organised  crime, 
including drugs, human beings and firearms trafficking, and cybercrime. Moreover, the fund ensures support to Member States to 
enhance information exchange and work toward an interoperable IT architecture for security and borders and to strengthen cross 
border police cooperation and training. 

EU added value of the programme 

The management of migration flows and security threats represents a challenge which cannot be dealt with by the Member States 
acting  alone.  In  fact,  some  Member  States  bear  a  heavy  burden  due  to  their  specific  geographic  situation  and  the  length  of  the 
external borders of the Union that they have to manage. The abolition of internal border controls  makes it even more necessary to 
ensure that the external borders are effectively protected and must be accompanied by common measures for the effective control 
of the Union's external borders, including the support for the relevant IT systems: SIS II (Schengen information system), VIS (Visa 
information system), Eurodac (Identification of applicants) and Eurosur (European Border Surveillance system). The principles of 
solidarity and fair sharing of responsibilities  not only among the Member States but also between the Member States and the EU 
are  therefore  at  the  heart  of  the  common  policies  on  asylum,  immigration  and  external  border  management.  The  EU  budget 
provides the means to address the financial implications of these principles.  

In  the  area  of  security,  serious  and  organised  crime,  including  trafficking  in  human  beings,  terrorism  and  other  security-related 
threats are increasingly cross-border in nature. Transnational co-operation and coordination between law enforcement authorities is 
essential  to  successfully  prevent  and  fight  these  crimes,  for  example  through  the  exchange  of  information,  joint  investigations, 
interoperable technologies and common threat and risk assessments.  

Dealing  with  migration  flows,  the  management  of  the  EU's  external  borders  and  the  security  of  the  EU  requires  substantial 
resources and capabilities from the Member States. Improved operational co-operation and coordination involving the pooling of 
resources in areas like training and equipment create economies of  scale and synergies,  thereby ensuring a  more efficient  use  of 
public  funds  and  reinforcing  solidarity,  mutual  trust  and  responsibility  sharing  for  common  EU  policies  among  Member  States. 
This is particularly relevant in the area of security, where financial support for all forms of cross-border joint operation is essential 
to enhance cooperation between police, customs, border guards and judicial authorities, in close cooperation with the HOME affairs 
EU  agencies:  European  Union  Agency  for  Law  Enforcement  Cooperation  (Europol),  European  Union  Agency  for  Law 
Enforcement  Training  (CEPOL),  European  Agency  for  the  operational  management  of  large-scale  IT  systems  in  the  area  of 
freedom,  security  and  justice  (eu-LISA),  European  Border  and  Coast  Guard  Agency  (Frontex),  European  Monitoring  Centre  for 
Drugs and Drug Addiction (EMCDDA). 

II. Programme Update 

Implementation status (2014-2017) 

Shared  management: After an initial delay in the adoption of the  legal bases of the Home  Affairs Funds due to several factors 
outside the control of DG HOME, all ISF Member State National Programmes were adopted in 2015, except those of the Schengen 
Associated Countries participating in ISF Borders and Visa. The implementation reached a cruising speed in 2017.  

The four Schengen Associated Countries (SAC) Switzerland, Norway, Iceland and Liechtenstein also participate in the ISF-Borders 
and Visa instrument of the fund. Before their ISF-B national programmes can be adopted, however, two preconditions need to be 
fulfilled: (1) they  need to notify the Commission and the Council of the acceptance of the ISF Borders  and Visa Regulation into 
their national legal order and (2) for each SAC a bilateral association agreement with the EU on supplementary rules in relation to 
this instrument  needs  to be concluded.  All  SAC have already notified the  Commission  and the Council of the acceptance of the 
ISF-B regulation into their national legal order, and the supplementary agreements for Norway and Liechtenstein have been signed 
and  the  agreements  have  provisionally  entered  into  force.  With  a  view  to  advancing  with  the  preparation  of  the  National 
Programmes, the Commission maintains close contacts with the SAC in parallel and provides informal feedback,  so that once the 

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respective  bilateral  agreements  are  in  place,  the  National  Programmes  may  be  approved  without  delay.  The  ISF  National 
Programme for Norway  was adopted on 25 September 2017 while the adoption of the programmes of Liechtenstein, Iceland and 
Switzerland are expected to take place in 2018. 

Direct management: With regard to the  funds managed directly by the Commission, all calls envisaged in the 2017 ISF Annual 
Work  Programmes  for  Union  Actions  have  been  published.  The  procedures  leading  to  the  conclusion  of  grant  agreements  are 
ongoing  and  will  be  finalised  by  the  deadline  of  31  December  2018.  Those  projects  for  which  the  grant  agreements  have  been 
concluded are inserted in the output tables below per Specific Objective. 

Key achievements 

Shared  management:  In  an  effort  to  transparently  share  ownership  of  the  funds  with  the  participating  countries,  DG  HOME 
organises AMIF-ISF Committee meetings and workshops in Brussels at least twice a year. Attendance of these meetings is full and 
feedback  from  the  participating  countries  is  excellent.  During  these  two-day  events,  the  Commission  provides  updates  on  the 
implementation  of  the  funds  and  on  novelties  regarding  their  management.  Member  States  share  best  practices  and  bilateral 
discussions  take  place  giving  the  opportunity  for  the  Commission  to  receive  first-hand  information  on  challenges  faced  on  the 
ground and for the Member States to be updated on the latest policy priorities.  
By  15  February  (or  1  March  upon  justified  request)  2018,  Member  States  have  submitted  their  annual  accounts348  covering  the 
financial  year 2017 and by 31 March 2018, the Annual Implementation  Reports  were  submitted.  No  Member State  has declared 
zero expenditure, all Member States together have requested a total amount of EUR 301,6 million.  

In this third set of annual accounts, 668 projects have been reported under ISF (59 projects in the area of a common visa policy, 167 
projects in the area of integrated border management, 287 projects in the area of crime prevention and coordination and cooperation 
between  law  enforcement  authorities,  73  projects  regarding  the  critical  infrastructures,  29  sub-projects  for  the  Special  Transit 
Scheme and 53 projects for operating support). 

In 2017, substantial progress was achieved towards the effective border management as the Commission proposed new legislation 
and implemented measures to save lives at sea, to better manage their external borders and to implement the hotspot approach.  

The Commission, together with the European Border and Coast Guard (EBCG) Agency (commonly referred to as Frontex) - and 
the Member States continued to work towards an effective and strengthened management of the EU's external borders. In 2017 the 
EBCG Agency carried out 15 joint operations at the EU’s sea, land and air external borders in which approximately 1 500 members 
of the European Border and Coast Guard teams  were deployed. It is important to note that at those external borders which  were 
exposed  to  the  highest  pressure,  the  Agency  was  present  on  a  permanent  basis  with  its  Triton  joint  operation  at  the  Central 
Mediterranean  and  its  Poseidon  joint  operation  at  the  Eastern  Mediterranean.  Generally,  the  Agency  deployed  in  its  operational 
activities 347 805 man-days which do not include deployments by the host Member States that were co-financed by the Agency. 

To support border management policies, EUR 206,6 million was spent by the Member States in 2017 with the support of the Fund. 
This amounted to a total (2014 to 2017) of EUR 390,6 million, which represented an increase of 112 % when compared with 2014, 
2015 and 2016 cumulated expenditure.  

In  2017,  EUR  167.8  million  were  spent  under  operating  support  and  border  protection.  This  amounted  to  a  total  of  EUR  293.6 
million, which represented an increase of 133 % when compared to the amounts spent in 2014, 2015 and 2016 together (EUR 125.9 
million).  MS  increased  significantly  their  investments  in  national  capacity,  e.g.  through  the  acquisition  of  high-value  assets 
essential in the effective management of the external borders in the current context of high migratory pressure (e.g. purchases of 
helicopters or boats, necessary upgrades or maintenance of IT systems). 

As part of the effort to manage the migration crisis, the implementation of the 'hotspot' approach continued in Greece and Italy.  

Five  hotspots  (Lesvos,  Leros,  Kos,  Chios  and  Samos)  are  operational  in  Greece;  all  migrants  are  properly  screened,  identified, 
fingerprinted,  registered  and  informed  about  their  rights.  As  of  31  December  2017,  the  hotspots  had  a  combined  capacity  of 
approximately  5  576  places.  Continuous  efforts  have  been  made  to  improve  the  living  conditions  of  migrants  staying  for  longer 
periods on the islands pending a decision on their situation as a consequence of the requirements of the EU-Turkey Statement.  

With  the  opening  of  the  hotspot  of  Messina  on  30  September  2017,  five  hotspots  (Lampedusa,  Messina,  Trapani,  Taranto  and 
Pozzallo) with a combined declared capacity of 1 850 places were operational in Italy at the end of 2017. In addition, Italy applies 
the  Hotspot  Standard  Operating  Procedures  in  further  ports  of  disembarkation.  Despite  the  continuous  high  inflow  of  migrant 
arrivals in the first half of 2017, Italy managed to keep the overall fingerprinting rate close to 100 %. 

To  support  policies  aiming  at  disrupting  organised  crime,  EUR  75,1  million  was  spent  by  the  Member  States  in  2017  with  the 
support  of  the  Fund  for  projects  in  the  area  of  preventing  and  combating  crime.  This  amount  increased  the  total  (2014-2017)  to 
EUR 124 million which represented an increase of 154 % as compared to the total amount spent in 2014, 2015 and 2016 together 
(EUR  48,8  million).  These  funds  were  essential  in  improving  the  capacity  in  Member  States:  for  example,  in  2017,  8  134  law 
enforcement officials were trained on cross-border-related topics (terrorism, organised crime, corruption). 

348 In line with the provisions in the legal bases, Member States submit their request for payment of the annual balance through the submission of annual accounts by 
15 February (or exceptionally by 1 March). The submission of the accounts is the way in which Member States report on the implementation of the Internal Security 
Fund. In addition, on 31 March all Member States submit their Annual Implementation Reports which include reporting on common indicators and on significant 
issues affecting the performance of the National Programme. 

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In 2017, an amount of EUR 17,2 million was spent by the Member States for projects in the area of risks and crisis. This amount 
increased the total (2014-2017) to EUR 29,1 million which represents an increase of 145 % of the amount spent in 2014, 2015 and 
2016 together (EUR 11,9 million). The Member States focused on preventing and combating crisis situations, including terrorism, 
as well early warning mechanisms. 

Direct  management:  Under  ISF  Emergency  Assistance,  as  of  16  January  2018,  EUR  309  million  –  representing  53  grant 
agreements – were awarded to Member States under borders and migratory pressure for addressing the migration and refugee crisis 
and EUR 6,3 million, representing 5 projects, under police emergency assistance. 

In  particular,  in  2017,  DG  HOME  awarded  EUR  57,8  million  to  two  Member  States  facing  the  most  urgent  pressure  on  their 
external borders - Greece (EUR 3.8 million) and Italy (EUR 54 million), notably at the hotspots.  

With  regard  to  Union  actions,  actions  under  the  2014  and  2015  annual  work  programmes  were  implemented  in  2017.  Grant 
agreements were concluded for actions under the 2016 annual work programmes and their implementation has started. Data on the 
grant agreements concluded in 2017 have been inserted in the output tables per Specific Objective. The ISF 2017 work programme 
for  Union  actions  was  adopted.  The  calls  for  proposals  foreseen  under  the  work  programme  (on  cooperation  between  Member 
States in areas of mobile criminality, border surveillance) were published and beneficiaries of direct award of grants foreseen under 
the work programme were invited to submit their grant applications. 

Evaluations/studies conducted 

At  the  start  of  the  programming  exercise  for  the  ISF  National  Programmes,  policy  dialogues  were  organised.  Through  these 
dialogues, a common understanding between the Commission and the respective Member State was established regarding the main 
challenges / funding priorities to be addressed through the ISF National Programmes that would constitute the maximum EU value 
added, in line with the objectives of the  ISF Borders and Visa Regulation and the ISF Police Regulation. The outcomes of these 
policy  dialogues  were  recorded  in  agreed  minutes  between  DG  HOME  and  the  Member  State  /  Schengen  Associated  Country 
concerned. This formed the basis for the joint programming exercise establishing the ISF National Programme. 

End of 2017, the Member States submitted to the Commission an interim evaluation report on the implementation of actions and 
progress towards achieving the objectives of their national programmes. On this base and taking into account the mid-term review 
exercise,  the  Commission  should  submit  to  the  European  Parliament,  to  the  Council,  to  the  European  Economic  and  Social 
Committee  and  to  the  Committee  of  the  regions  an  interim  evaluation  report  on  the  implementation  of  the  legal  bases,  by  June 
2018. This interim evaluation of the Internal Security Fund examined the performance of the Fund during the period from 1 January 
2014 up to 30 June 2017 against the following evaluation criteria: effectiveness, efficiency, relevance, coherence, complementarity, 
sustainability, EU added value, simplification and reduction of administrative burden. It should be  noted that the  Fund has been 
operating  in  the  context  of  increased  migratory  pressure  on  Europe’s  southern  and  southern-east  external  borders,  which  led  to 
changing needs and funding priorities in order to ensure the protection of the external borders of the EU.  

The preliminary results of the evaluation point that ISF-Borders and Visa (ISF-BV) support is being essential for carrying out the 
investments required improving the EU external border management systems. The ISF-BV is making a crucial contribution to the 
application of the Schengen acquis. The Fund is indeed tackling fragmentation by supporting the development and improvement at 
the national level of large IT systems, such as VIS and SIS II, as well as contributing to their coherent and effective use among all 
MS. The ISF-BV is also fostering a better use of resources by increasing the capacity of MS to undertake border surveillance and 
by  developing  consular  cooperation  between  MS.  What  is  more,  the  Fund  is  considered  as  flexible  enough  to  respond  to  the 
changing needs induced by the beginnings of the migration crisis by shifting resources to the affected Member States, also through 
EMAS.  Finally,  the  Fund  has  also  contributed  to  the  set-up  of  comprehensive  management  and  control  systems,  including  good 
coordination  with the European Commission, the application of stringent procurement procedures, ex-post audits of projects and 
monitoring arrangements, thereby promoting the reasonable use of EU financing in the field of border management.  

The following lessons can be learnt from the implementation of the ISF-BV:  the Fund’s sustainability should be increased as the 
continuity of the ISF-BV funded actions relies to a large extent on the EU funding, further measures should be made to alleviate the 
administrative burden of the Fund and evaluation and monitoring framework included indicators should be in place right from the 
start and the corresponding reporting time tables should be aligned better with Member States time tables. 

Concerning  the  ISF-Police  Fund  (ISF-P),  the  preliminary  results  of  the  evaluation  point  that  ISF-P  support  is  essential  for 
improving the capacity of Member States to address new security threats with a transnational dimension, e.g. terrorism, organised 
crime, corruption. The Fund has promoted the law enforcement cooperation at European level through the exchange of information 
and dissemination of best practices, the establishment of transnational networks and projects and the participation of Member States 
in joint investigation teams and EMPACT policy cycle. The  ISF-P also supported the development of an EU crisis  management 
strategy  through  the  establishment  of  sector-specific  early  warning  systems,  cooperation  mechanisms  and  the  upgrading  and 
procurement of IT systems and operational equipment allowing a better response to emergency situations. Furthermore, the Fund 
has proved to be flexible enough to respond to the changing needs emerged as a consequence of the migration and security crisis, as 
also enables shifting resources to the affected Member States. The results of ISF-P have been achieved at a reasonable cost in terms 
of  both  human  and  financial  resources,  also  thanks  to  an  effective  management  and  control  system  that  ensured  correct 
implementation of the Fund and effective prevention of irregularities.  

There is always room for improvement and lessons learnt, for example the monitoring and evaluation framework itself should be 
developed  further  addressing  issues  such  as  baseline  values,  definition  of  indicators,  synchronisation  of  reporting  calendars  etc., 

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issues linked to efficiency of the fund and flexibility in the design of the national programmes and allocation of funding which in 
the programme and as well as to the perceived administrative burden linked to the fund. 

As regards the mid-term review, the Member States contributed to this exercise by carrying out a needs assessment in light of the 
policy  objectives  for  the  remaining  period.  The  Commission  has  completed  the  assessment  of  the  identified  needs  in  December 
2017  and  first  conclusions  were  sent  to  the  Member  States  in  December  2017/January  2018.  Bilateral  dialogues  have  been 
organized with the Member States in the 1st quarter of 2018 to conclude the exercise.  For the ISF Borders & Visa instrument all 
National Programmes will be revised in order to include the additional amounts envisaged in the legal base for the mid-term review 
as outlined below under 'forthcoming implementation' which are to be used to achieve specific actions in the light if the priorities of 
the Union as agreed during the bilateral dialogues. 

Furthermore, by 31 December 2023, the Member States will provide an ex-post evaluation report on the effects of actions under 
their national programmes and the Commission will present by 30 June 2024 an ex-post evaluation report on the effects of the legal 
bases. 

Forthcoming implementation (2018-2019)  

Shared  management:  Following  the  adoption  of  the  2017  budget,  top-up  amounts  of  EUR  70  million  for  the  Passenger  Name 
Record (PNR) and EUR 22 million for interoperability of information systems have been added to the Member States' ISF Police 
National Programme basic allocations using the existing distribution key. All ISF Police National Programmes have been revised 
accordingly. An additional EUR 76 million for the purchase of equipment to be put at the disposal of the EBCG Agency during 
joint  operations  was  distributed  among  the  Member  States  participating  in  the  ISF  Borders  &  Visa  instrument  through  Specific 
Actions. Member States will need to ensure implementation of these additional amounts for their intended purpose. A new pledging 
exercise  for  the  purchase  of  technical  equipment  to  be  put  at  the  disposal  of  the  EBCG  Agency  during  joint  operations  for  the 
amount of EUR 123,6 will be held in 2018 according to the operational needs of the Agency.  

The legal base for the ISF Borders & Visa instrument envisages in the framework of the mid-term review to allocate an additional 
amount  of  EUR  128  million  in  2018,  taking  into  account  the  burden  of  MS  in  border  management,  threat  levels  at  the  external 
borders for the period 2017-2020 as well as factors that affected security at the external borders in 2014-2016. The distribution key 
was established in 2017 by the Commission in accordance with the EBCG Agency's risk analysis report and in consultation with 
the EBCG agency, and, where relevant, with other Union agencies. 

Direct management: Grant agreements under the ISF 2017 annual work programme for Union actions will be concluded in 2018 
and the implementation of the actions will start. The ISF 2018 annual work programme for Union actions will be adopted and as a 
continuation of previous years, it is expected to focus on counter-terrorism, organised crime and cybercrime. Member States facing 
migratory pressure will continue to be supported via the ISF Emergency Assistance. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation  (EU)  No  515/2014  of  the  European  Parliament  and  of  the  Council  of  16  April  2014 
establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for  financial  support  for  external 
borders and visa and repealing Decision No 574/2007/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

3 764,0 

Financial Programming (EUR million) 

2014 

Total 
Programme 
16,6 
Administrative support 
3 876,6 
Operational appropriations 
Total 
3 893,2 
(*)The appropriations for the year 2014 have been reviewed to take account of the transfer to subsequent years of the allocations not used in 2014 
(reprogramming exercise carried-out in 2015 in accordance with Article 19 of the Multiannual Financial Framework Regulation). 

2,2 
127,3(*) 
129,5 

2,5 
717,5 
720,0 

2,5 
490,8 
493,3 

2,5 
526,0 
528,5 

2,2 
549,4 
551,5 

2,3 
733,2 
735,5 

2,5 
732,4 
734,9 

DB2019 

2018 

2016 

2015 

2017 

2020 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
734,925 

Impl. Rate 
94,52 % 

PA 
326,027 

Impl. Rate 
99,15 % 

CA 
711,979 

Impl. Rate 
40,66 % 

PA 
471,150 

Impl. Rate 
25,02 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

93,13 % 

39,41 % 

27,23 % 

91,67 % 

800,787 

381,220 

795,466 

519,601 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies -Not applicable 

4. Performance information 

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General objectives 

General Objective 1: to contribute to ensuring a high level of security in the Union 
Indicator 1: Number of irregular migrants apprehended at the EU external borders 

Baseline 
2012 

73 042 
Source: Frontex Risk 
Analysis Network 

2014 

2015 

2016 

2017 
750 000* 

2018 

2019 

Milestones foreseen 

283 532 

1 825 979** 

513 399*** 

204 179**** 

Actual results 

Target 2020 

250 000* 

*A forecast is difficult to make because of the high volatility of the relevant external factors (political situation in the third countries considered as 
sources of irregular migration) which are very difficult to predict and control. 
** The data for 2015 is composed of 3 642 clandestine entries detected at border crossing points (BCPs) and 1 822 337 illegal border crossings 
detected  between  BCPs.  Please  note  that  the  number  refers  to  crossings  and  not  to  persons  as  the  same  persons  may  have  been  detected  and 
counted more than once when crossing different external borders. Source: Frontex Risk Analysis for 2016. 
*** The data for 2016 is composed of 2 028 clandestine entries detected at border crossing points (BCPs) and 511 371 illegal border crossings 
detected  between  BCPs.  Please  note  that  the  number  refers  to  crossings  and  not  to  persons  as  the  same  persons  may  have  been  detected  and 
counted more than once when crossing different external borders. Source: FRAN data as of 2 February 2017. 
**** Source: EBCG Agency (Frontex) report quoted in DG HOME AAR 2017 
Indicator 2: Volume of terrorism in the EU expressed by the number of failed, foiled or completed terrorist attacks in the EU 

Baseline 
2012 

152 attacks   
 7 deaths 

Europol TE-SAT, 2014 

2014 

2015 

2016 

2017 
170 attacks, 0 death 

2018 

2019 

Milestones foreseen 

Actual results 

201 attacks 
4 deaths  
Europol TE-
SAT, 2015 

211 attacks 
115 deaths 
Europol TE-
SAT, 2016 

142 attacks 
142 deaths 
Europol TE-
SAT, 2017 

Not yet available 

Target 2020 

Below 120 attacks 
0 death 
This target has been 
defined to cut by half the 
number of terrorist 
incidents in Europe 

Specific objectives 
Specific  Objective  1: Supporting  a  common  visa  policy  to  facilitate  legitimate  travel,  provide  a  high  quality  of  service  to  visa 
applicants, ensure equal treatment of third-country nationals and tackle illegal immigration 
Indicator 1: Cumulative number of consular cooperation activities developed with the help of the Instrument. Broken down in co-
locations, common application centres, representations, others* 

Baseline 
2013 

0 

2014 

2015 

2016 

2017 
15 

2018 

2019 

Milestones foreseen 

14* 

39* 

Actual results 

45** 

42** 

Target 2020 

336** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 2: Cumulative number of staff trained and number of training courses in aspects related to the common visa policy with 
the help of the Instrument 
Baseline 
2013 

Milestones foreseen 

Target 2020 

2014 

2016 

2015 

2018 

2019 

2017 
1 000 staff trained, 
50 regional 
training courses 

7 676** staff trained, 
100 regional training 
courses 

0 

0* 

721* 

4 060** 

2 042** 

Actual results 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 3: Cumulative number of specialised posts in third countries supported by the Instrument. Broken down by ILOs, others* 

Baseline 
2013 
30 (Source: MS 
information from the 
National Programmes) 

Milestones foreseen 

2014 

2015 

2016 

0* 

39* 

76** 

Actual results 

2017 
45 

84** 

2018 

2019 

Target 2020 

350** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 4: Percentage and number of consulates developed or upgraded with the help of the Instrument out of the total number of 
consulates 

Baseline 

0 

2014 

2015 

2016 

2017 
100 

2018 

2019 

Milestones foreseen 

8* 

43* 

133** 

195** 

Actual results 

Target 2020 

894** 

317/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 

Expenditure related outputs 

Outputs 

Projects supporting and expanding the existing capacity at national level in visa policy 
Projects  ensuring  the  correct  and  uniform  application  of  the  Union  acquis  on  visas  in 
response  to  weaknesses  identified  at  Union  level,  as  shown  by  results  established  in  the 
framework of the Schengen evaluation and monitoring mechanism 
Projects  supporting  the  further  development  of  the  management  of  migration  flows  by 
consular and other services of the Member States in third countries, including the setting up 
of  consular  co-operation  mechanisms  with  a  view  to  facilitating  legitimate  travel  in 
accordance  with  Union  law  or  the  law  of  the  Member  State  concerned  and  preventing 
illegal immigration into the Union 
Projects under specific actions for visas policy and consular  cooperation 
Projects under Union and emergency actions for visas policy and consular cooperation 
Operating support Visas 
Technical assistance (as part of the national programme, 100% EU contribution) 
Total 

Draft Budget 2019 

Budget line 

18 02 01 01 

Number 
33 

18 02 01 01 

15 

18 02 01 01 

11 

18 02 01 01 
18 02 01 01 
18 02 01 01 
18 02 01 01 

2 
1 
n/a 
n/a 

EUR million 

23,56 

1,69 

4,20 

2,60 
0,94 
11,16 
5,30 
49,45 

Outputs 

2020 
33 

2014 
33 
0 
15 

2016 
36 

Number of outputs foreseen (F) and produced (P) 
2017 
30 
37 
15 

2018 
30 

2015* 
36 
N/A 
15 

16 

15 

2019 
33 

F 
P 
F 

0 

F 

P 

15 

15 

12 

N/A 

Projects  supporting  and  expanding  the  existing 
capacity at national level in visa policy 
Projects  ensuring 
the  correct  and  uniform 
application  of  the  Union  acquis  on  visas  in 
response  to  weaknesses  identified  at  Union 
level,  as  shown  by  results  established  in  the 
framework  of  the  Schengen  evaluation  and 
monitoring mechanism 
Projects  supporting  the  further  development  of 
the management of migration flows by consular 
and other services of the Member States in third 
countries,  including  the  setting  up  of  consular 
co-operation  mechanisms  with  a  view 
to 
facilitating  legitimate  travel  in  accordance  with 
Union  law  or  the  law  of  the  Member  State 
concerned  and  preventing  illegal  immigration 
into the Union 
1 
Projects  under  specific  actions  for  visas  policy 
and consular cooperation 
N/A 
6 
Projects  under  Union  actions  for  visas  policy 
and consular cooperation 
8 
* First deadline for submission of the Annual Accounts by Member States 15 February 2016, first deadline for submission Annual Implementation 
Report is 31 March 2016. 

F 
P 
F 
P 

2 
2 
4 
0 

0 
0 
4 
3 

7 
11 

N/A 

11 

10 

11 

11 

11 

11 

10 

P 

8 

2 

7 

0 

2 

5 

2 

2 

1 

Justification of changes to the financial programming and/or to the performance information 
The adoption of the Legal Base on Interoperability (COM(2017)793) led to changes in the programming which impacted the 
amount allocated to Union Actions in DB2019. 

Specific Objective 2: Supporting integrated border management to ensure, on one hand, a uniform and high level of control and 
protection  of  the  external  borders,  and  on  the  other  hand,  the  smooth  crossing  of  the  external  borders  in  conformity  with  the 
Schengen  acquis,  while  guaranteeing  access  to  international  protection  for  those  needing  it,  in  accordance  with  the  obligations 
contracted by the Member States in the field of human rights 
Indicator 1: Number of staff trained and number of training courses in aspects related to border management with the help of the 
Instrument 

Baseline 
2013 

0 

Milestones foreseen 

2014 

2015 

2016 

2017 
750 staff trained, 
25 training 
courses 

2 260 staff, 

4 190 staff, 

3 011 staff 

2 532 staff:** 
Number of 

Actual results 

2018 

2019 

Target 2020 

32 585** staff 
trained, 50 training 
courses 

318/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

68 courses* 

courses:  
not yet available 
* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 2: Number of border control (checks and surveillance) infrastructure and means developed or upgraded with the help of 
the Instrument. Broken down by infrastructure, fleet (air, land, sea borders), equipment, others* 

147 courses *  129 courses * 

Baseline 

0 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

843* 

1 127* 

5 883** 

704** 

Actual results 

Target 2020 

20 684** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 3: Number of gates funded and number of border crossings of the external borders through ABC gates supported from 
the Instrument out of the total number of border crossings 

Baseline 
2013 

2014 

2015 

2016 

2017 
45 gates 

Milestones foreseen 

2018 

2019 

Target 2020 

0 gates funded 

2 million crossings 
out of 820 million 

Actual results 

No data * 

7 405 887 
crossings out 
of 160,3 
million* 

11 556 677 
crossings out 
of 196 
million** 

15 467 815 
crossings out of 
191 million** 

100 gates 

335 million crossings 
out of 2 485 
million** 

* Provided in the annual implementation reports sent by Member States on 31 March each year.  
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 4: Number of national border surveillance infrastructure established/further developed in the framework of EUROSUR. 
Broken  down  by  National  Coordination  Centres,  Regional  Coordination  Centres,  Local  Coordination  Centres,  other  types  of 
coordination centres 

Baseline 

2014 
30  

Milestones foreseen 

2015 

2016 

2017 
30  

2018 
30  

2019 

Target 2020 

19 National 
Coordination 
Centres 
Source: 
Eurosur 
Regulation** 
**The 19 MS having external borders to the east and to the south were required by the Eurosur Regulation to set up their NCCs by December 
2013. All the NCCs were set up by December 2014. 
Indicator  5: Number  of  incidents  reported  by  Member  States  to  the  European  Situational  Picture.  Broken  down  by  illegal 
immigration, including incidents relating to a risk to the lives of migrants, cross-border crime, crisis situations* 

30 National 
Coordination Centres 
and other 
infrastructure/ 
upgrade 

Actual results 

30  

30  

30  

30  

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

EUROSUR entered into 
force only on 02/12/2013. 
Relevant indicators, data 
and their evolution can be 
assessed and quantified 
only from 2015 onwards. 
* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 

Actual results 

8 500** 

8 287** 

2 294* 

1 687* 

Expenditure related outputs 

Outputs 

Projects developing the European Border Surveillance system (EUROSUR) 
Projects  supporting  and  expanding  the  existing  capacity  at  national  level  in  the  management  of  the 
external borders 
Projects  reinforcing  integrated  border  management  by  testing  and  introducing  new  tools,  interoperable 
systems and working methods which aim to enhance information exchange within the Member State or to 
improve inter-agency co-operation 
Developing projects with a view to ensuring a uniform and high level of control of the external border in 
accordance  with  common  Union  standards  and  aiming  at  increased  interoperability  of  border 
management systems between Member States 

Budget line 

18 02 01 01 

Draft Budget 2019 
Number  EUR million 
21,93 

2 

18 02 01 01 

90 

97,05 

18 02 01 01 

12 

18 02 01 01 

60 

30,5 

6,38 

319/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
6,55 

29,72 

0,94 
24,67 
37,89 
5,30 

40,0 

20,0 
340,86 

2020 
0 

80 

8 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

Budget line 

Draft Budget 2019 
Number  EUR million 

18 02 01 01 

4 

6,38 

18 02 01 01 

4 

13,55 

Outputs 

Projects  supporting  actions,  after  consulting  the  Frontex  Agency,  aimed  at  promoting  further 
harmonisation  of  border  management  and  in  particular  technological  capabilities,  in  accordance  with 
common Union standards 
Projects ensuring the correct and uniform application of the Union acquis on border control in response to 
weaknesses identified at Union level, as shown by results established in the framework of the Schengen 
evaluation and monitoring mechanism 
Projects  building  the  capacity  to  face  upcoming  challenges,  including  present  and  future  threats  and 
pressures  at  the  external  borders,  taking  into  account  in  particular  the  analyses  carried  out  by  relevant 
Union agencies 
Projects under specific actions for border management including the purchase of equipment to be put at 
disposal of Frontex 
Projects under Union and emergency actions for border management 
Operating support for the Special Transit Scheme 
Operating support Borders 
Technical Assistance (as part of the national programme, 100% EU contribution)  
Entry/Exit  System:  grants  for  integrating  national  border  infrastructures  in  Member  States  via  National 
Uniform Interface (NUI)". 
ETIAS: grants for customisation of National Uniform Interface (NUI) in Member States 
Total 

18 02 01 01 

18 02 01 01 

18 02 01 01 
18 02 01 01 
18 02 01 01 
18 02 01 01 

18 02 01 03 

18 02 01 03 

4 

8 

1 
1 
n/a 
n/a 

30 

30 

Number of outputs foreseen (F) and produced (P) 
2017 
5 
33 
100 

2016 
7 
21 
125 

2018 
8 

2015* 
8 
N/A 
110 

96 

90 

2019 
2 

12 

12 

Outputs 

at 

and 

integrated 

reinforcing 

interoperable 

the  European  Border 

the  Member  State  or 

Projects  developing 
Surveillance system (EUROSUR) 
Projects  supporting  and  expanding  the  existing 
capacity  at  national  level  in  visa  policy  and  in 
the management of the external borders 
Projects 
border 
management  by  testing  and  introducing  new 
tools, 
systems  and  working 
methods  which  aim  to  enhance  information 
to 
exchange  within 
improve inter-agency co-operation 
Developing  projects  with  a  view  to  ensuring  a 
uniform and high level of control of the external 
border  in  accordance  with  common  Union 
increased 
aiming 
standards 
interoperability  of  border  management  systems 
between  Member  States 
interoperability  of 
border  management  systems  between  Member 
States 
Projects  supporting  actions,  after  consulting  the 
Frontex  Agency,  aimed  at  promoting  further 
harmonisation  of  border  management  and  in 
particular 
in 
capabilities, 
technological 
accordance with common Union standards 
Projects  ensuring 
the  correct  and  uniform 
application  of  the  Union  acquis  on  border 
control  in  response  to  weaknesses  identified  at 
Union  level,  as  shown  by  results  established  in 
the  framework  of  the  Schengen  evaluation  and 
monitoring mechanism 
Projects building the capacity to face upcoming 
challenges,  including  present  and  future  threats 
and pressures at the external borders, taking into 
account in particular the analyses carried out by 
relevant Union agencies 
Projects  under  specific  actions  for  border 
management 
of 
including 
equipment to be put at disposal of Frontex 
Projects under Union and emergency actions for 
border management 
Operating  support  for 
Scheme 
Entry/Exit System: grants for integrating 

the  Special  Transit 

purchase 

the 

2014 
8 
0 
119 

0 

10 

0 

75 

0 

5 

0 

5 

0 

5 

0 

0 

0 

5 
3 
1 
0 
0 

F 
P 
F 

P 

F 

P 

F 

P 

F 

P 

F 

P 

F 

P 

F 

P 

F 
P 
F 
P 
F 

N/A 

11 

N/A 

70 

34 

12 

6 

75 

72 

12 

15 

70 

N/A 

N/A 

N/A 

5 

N/A 

5 

N/A 

5 

N/A 

3 

N/A 

5 
9 
1 
1 
0 

5 

7 

5 

9 

5 

4 

7 

2 

9 
11 
1 
1 
0 

4 

15 

4 

19 

4 

6 

43 

7 

16 
25 
1 
1 
30 

60 

60 

30 

4 

4 

4 

15 

24 

1 

30 

4 

4 

4 

8 

1 

1 

30 

2 

2 

2 

4 

8 

1 

0 

320/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

Outputs 

2014 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2019 

2015* 

DB2019 

2020 

national border infrastructures in Member States 
via National Uniform Interface (NUI). 
0 
ETIAS:  grants  for  customisation  of  National 
Uniform Interface (NUI) in Member States 
0 
* First deadline for submission of the Annual Accounts by Member States 15 February 2016, first deadline for submission Annual Implementation 
Report is 31 March 2016. 

0 
 0 

F 
P 

0 
0 

0 
0 

30 

30 

30 

 0 

P 

0 

0 

0 

Specific Objective 3: Crime prevention, combating cross-border, serious and organised crime including terrorism, and reinforcing 
coordination and cooperation between law enforcement authorities and other national authorities of Member States 
Indicator  1: Cumulative  number  of  joint  investigation  teams  (JITs)  and  European  Multidisciplinary  Platform  against  Criminal 
Threats  (EMPACT)  operational  projects  supported by  the  Instrument,  including  the  participating  Member  States  and  authorities. 
Broken  down  by  Leader  (Member  State),  Partners  (Member  State),  participating  authorities,  participating  EU  Agency  (Eurojust, 
Europol), if applicable* 
Baseline 
2013 

Milestones foreseen 

Target 2020 

2018 

2014 

2016 

2015 

2019 

2017 
820 

0 

0* 

0* 

Actual results 

10** 

103** 

215** 

*Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  2: Cumulative  Number  of  law  enforcement  officials  trained  on  cross-border-related  topics  with  the  help  of  the 
Instrument, and the duration of their training (person days). Broken down by type of crime (Art. 83 TFEU), and horizontal area of 
law enforcement* 

Baseline 
2013 

Officials trained: 0 
Person days: 0 

Milestones foreseen 

2014 

2015 

2016 

2017 
20 000 
40 000 

Actual results 

Officials 
trained: 556*; 
person days: 3 
755 

Officials 
trained:  
1 169*; 
person days: 6 
473 

Officials 
trained:  
2 632**; 
person days: 7 
512** 

Officials 
trained:  
8 134**, 
person days: 
87 513** 

2018 

2019 

Target 2020 

127 955** 
197 445** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  3: Number  and  financial  value  of  projects  in  the  area  of  crime  prevention.  Broken  down  by  type  of  crime  (Art.  83 
TFEU)* 

Baseline 

2014 

2015 

2016 

Milestones foreseen 

2017 
N/A 

2018 

2019 

Target 2020 

Number and financial 
value of projects in the 
area of crime prevention:  
0 

Actual results 

Number: 32, 
financial value: 
EUR 1,5 
million* 

Number: 55, 
financial value: 
EUR 24,7 
million* 

Number: 116**, 
financial value: 
EUR 52 
million** 

Number: 99**, 
financial value: 
EUR 66,1 million** 

Number: 333**, 
financial value: EUR 
229 million** 

*Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator 4: Number of projects supported by the Instrument, aiming to improve law enforcement information exchange which are 
related to Europol data systems, repositories or communication tools. Broken down by type of crime (Art. 83 TFEU)* 

Baseline 

0 

2014 

2015 

2016 

2017 
24 

2018 

2019 

Milestones foreseen 

12* 

19* 

Actual results 

25** 

45** 

Target 2020 

129** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 

321/555 

 
 
 
 
  
  
  
  
  
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

Projects  aiming  at  strengthening  Member  States'  capability  to  prevent  crime  and  combat  cross-border, 
serious and organised crime. 
Projects aiming at coordination, cooperation, mutual understanding and the exchange of information among 
Member States' national authorities, relevant Union bodies, third-countries and international organisations. 
Projects  aiming  at  training  schemes  in  implementation  of  European  training  policies,  including  through 
specific Union law enforcement exchange programmes. 
Projects aiming at measures and best  practices for the protection and support of witnesses and victims of 
crime, including victims of terrorism. 
Union  projects  aiming  at  preventing  and  combating  cross-border,  serious  and  organised  crime,  and 
reinforcing coordination and cooperation between law enforcement authorities 
Total 

18 02 01 02 

18 02 01 02 

97 

63 

18 02 01 02 

25 

18 02 01 02 

5 

18 02 01 02 

50 

32,88 

31,28 

5,30 

3,02 

26,52 

99,00 

Number of outputs foreseen (F) and produced (P) 

Outputs 

2014 
99 

2015 
107 

2016 
107 

2017 
107 

2018 
107 

2019 
97 

2020 
99 

0 

0 

P 

P 

F 

F 

F 

17 

63 

63 

68 

63 

63 

93 

25 

70 

law 

173 

N/A 

N/A 

enforcement 

Projects  aiming  at  strengthening  Member  States' 
capability  to  prevent  crime  and  combat  cross-border, 
serious and organised crime. 
Projects  aiming  at  coordination,  cooperation,  mutual 
understanding and the exchange of information among 
MS' national authorities, relevant Union bodies, third-
countries and international organisations. 
Projects aiming at training schemes in implementation 
of  European  training  policies,  including  through 
specific  Union 
exchange 
programmes. 
Projects aiming at measures and best practices for the 
protection  and  support  of  witnesses  and  victims  of 
crime, including victims of terrorism. 
Union  projects  aiming  at  preventing  and  combating 
cross-border,  serious  and  organised  crime,  and 
reinforcing coordination and cooperation between law 
enforcement authorities 
Specific Objective 4: Enhancing the capacity of Member States and the Union for managing effectively security-related risks and 
crises, and preparing for and protecting people and critical infrastructure against terrorist attacks and other security-related incidents 
Indicator 1: Number and tools put in place and/or further upgraded with the help of the Instrument to facilitate the protection of 
critical infrastructure by Member States in all sectors of the economy 

N/A 

N/A 

101 

25 

63 

59 

19 

11 

25 

25 

25 

25 

25 

63 

21 

57 

60 

60 

57 

50 

57 

23 

F 

P 

P 

F 

P 

4 

5 

0 

5 

6 

5 

5 

5 

0 

6 

0 

3 

Baseline 

0 

2014 
0 

0* 

2015 
0 

44* 

Milestones foreseen 

2016 
1 
Actual results 

2017 
2 

93** 

111** 

2018 
2 

2019 
3 

Target 2020 

285** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  2: Cumulative  number  of  projects  relating  to  the  assessment  and  management  of  risks  in  the  field  of  internal  security 
supported by the Instrument 

Baseline 
2013 

0 (Source: Commission) 

2014 

2* 

2015 
30 

9* 

Milestones foreseen 

2016 
45 
Actual results 

2017 
60 

23** 

25** 

2018 
75 

2019 
80 

Target 2020 

99** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 
Indicator  3: Number  of  expert  meetings,  workshops,  seminars,  conferences,  publications,  websites  and  online  consultations 
organised with the help of the Instrument. Broken down by relating to critical infrastructure protection, and relating to crisis and 
risk management* 

Baseline 

0 

Milestones foreseen 

2014 
0 

0* 

2015 

2016 
15 
Actual results 

2017 

2018 

2019 

4* 

46** 

153** 

Target 2020 

882** 

* Provided in the annual implementation reports sent by Member States on 31 March each year. 
** Based on latest data submitted by Member States as of 31/03/2018. 

322/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Expenditure related outputs 

Outputs 

Projects aiming at strengthening Member States' capability to protect critical infrastructure 
Projects aiming at securing links and effective coordination between existing sector-specific 
early warning and crisis cooperation actors at Union and national level 
Projects aiming at strengthening capacity of the Member States and the Union to develop 
threat and risk assessments 
Union  projects  aiming  at  enhancing  the  capacity  of  Member  States  and  the  Union  for 
managing effectively security-related risks and crisis 
Total 

Budget line 

18 02 01 02 

18 02 01 02 

18 02 01 02 

18 02 01 02 

Number 
30 

9 

4 

8 

Draft Budget 2019 

Outputs 

Projects aiming at strengthening Member States' 
capability to protect critical infrastructure 
Projects  aiming  at  securing  links  and  effective 
coordination  between  existing  sector-specific 
early  warning  and  crisis  cooperation  actors  at 
Union and national level 
Projects aiming at strengthening the capacity of 
the  Member  States  and  the  Union  to  develop 
threat and risk assessments 
Union projects aiming at enhancing the capacity 
of  Member  States  and  the  Union  for  managing 
effectively security-related risks and crisis 

F 
P 
F 

P 

F 

P 

F 

P 

2014 
30 
0 
9 

0 

4 

0 

14 

0 

Number of outputs foreseen (F) and produced (P) 
2017 
30 
17 
9 

2016 
30 
5 
9 

2018 
30 

2015 
30 
N/A 
9 

9 

9 

2019 
30 

N/A 

4 

N/A 

14 

0 

9 

4 

5 

14 

9 

16 

4 

13 

25 

12 

4 

14 

4 

8 

EUR million 

9,51 

6,28 

4,42 

16,47 

36,68 

2020 
30 

9 

4 

14 

5. Programme contribution to the Sustainable Development Goals 

The Internal Security Fund (ISF) has been  set  up for the  period 2014-20 to promote the implementation of the  Internal Security 
Strategy, law enforcement cooperation and the management of the Union's external borders and therefore may contributes to the 
Sustainable  Development  Goal  16  (to  promote  peaceful  and  inclusive  societies  for  sustainable  development,  provide  access  to 
justice for all and build effective, accountable and inclusive institutions at all levels). 

323/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

HEADING 3: Security and citizenship 

Justice Programme 
Lead DG: JUST 
Associated DGs: HOME 

I. Programme Overview 

What the programme is about? 

This programme shall contribute to the further development of a European area of justice based on mutual recognition and mutual 
trust. It promotes: 

• 
• 
• 

Judicial cooperation in civil matters, for instance on insolvency and in the field of family law 
Judicial cooperation in criminal matters 
Judicial training, including language training on legal terminology, with a view to fostering a common legal and judicial 
culture 

•  Effective access to justice in Europe, including rights of victims of crime and procedural rights in criminal proceedings 
• 

Initiatives in the field of drugs policy (judicial cooperation and crime prevention aspects). 

EU added value of the programme 

The  Justice  programme  promotes  judicial  cooperation  between  Member  States'  authorities  and  contributes  to  the  effective  and 
coherent application and enforcement of EU law in the areas of civil law and criminal law, civil law and criminal procedural law, 
the rights of persons suspected or accused of crime and the rights of victims of crime.  

The  activities  funded  by  the  Programme  result  in  better  implementation  of  EU  justice  instruments  (e.g.  European  Investigation 
Order,  European  Arrest  warrant  and  surrender  procedures,  European  Protection  Order,  European  Account  Preservation  Order, 
family  law)  and  faster  proceedings  through  cooperation,  dialogue,  sharing  of  experience,  exchange  of  information,  training 
activities  and  harmonisation  of  practices.  Analytical  activities  also  help  monitor  the  correct  implementation  of  existing  EU 
legislation, prepare or accompany new legislation or respond to policy changes in the areas covered by the programme. 

Financial intervention at EU level is essential to ensure cross-border cooperation in judicial matters and develop a European area of 
justice.  Judicial  training  contributes  decisively  to  participants’  awareness  of  belonging  to  common  judicial  area  while  sharing  a 
common judicial culture. 

II. Programme Update 

Implementation Status (2014-2017) 
All calls for proposals and tenders under the 2014, 2015 and 2016 work programmes349 are finalised. The implementation of related 
projects  and  contracts  is  on-going.  The  2017  work  programme  was  adopted  on  13  March  2017350.  Calls  for  proposals  were 
published and are currently being evaluated. The 2018 work programme was adopted timely on 19 December 2017351. 

The  outputs  of  the  Justice  Programme  are  closely  linked  to  the  Commission  activity  on  preparing,  supporting  and  ensuring  the 
correct implementation of an important number of EU legal instruments in civil and criminal law, improving their enforcement and 
remedy capacities in Member States, and ensuring an adequate cross border and EU level cooperation. The Justice Programme has 
supported conformity check studies for EU legislation transposed in the EU Member States. It has equally successfully supported 
judicial networks and judicial training. Proper application of EU law is in fact a key element to allow EU citizens and business to 
benefit  from  EU  law.  This  is  achieved  both  through  preventive  actions  (workshops,  expert  meetings,  stakeholder  dialogue, 
technical guidelines for national authorities and training of legal practitioners financed through the Programme) and infringement 
procedures. 

Key achievements  

Specific objective 1: Judicial cooperation in civil and criminal matters: 
The  Justice  Programme  finances  the  European  Judicial  Network  in  civil  and  commercial  matters  established  under  Council 
Decision  2001/470/EC.  The  network  brings  together  national  judicial  authorities.  It  aims  to  simplify  and  strengthen  judicial 
cooperation  between  Member  States.  It  also  aims  at  improving  the  practical  application  and  implementation  of  EU  civil  justice 
instruments. In this way, it contributes to building bridges between the different justice systems of the Member States and thereby 
creating mutual trust.  

In  civil  justice,  the  family  law  instruments,  the  insolvency  regulation,  the  European  Account  Preservation  Order,  the  European 
Small  Claims  procedure  and  mediation  in  civil  and  commercial  matters  have  been  promoted  through  programme  funding  since 
2014.  That  has  contributed  to  raising  awareness  among  the  legal  practitioners  and  the  general  public  and  enabled  their  correct 

349  

350  

351  

C(2014) 2556 final, C(2015) 1997 final and C(2016) 1677 final 

C(2017) 1544 final 

C(2017) 8520 final 

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application. Furthermore, the funding has been used to support the application of many EU legal instruments in judicial cooperation 
in  civil  and  criminal  matters,  such  as  the  European  Arrest  Warrant  (EAW),  which  with  over  10  000  cases  per  year  is  the  most 
successful EU instrument in criminal matters.  

The Electronic Criminal Records Information System (ECRIS), a decentralised IT system operated by the central authorities of the 
EU Member States has registered an increase in the number of exchanges of information. In 2017, the increase was more than eight 
fold compared to the 2012 baseline and in line with reaching its 2020 target.  

The Justice Programme has been funding projects in the area of fight against radicalisation in prisons. Improving prison conditions 
has become a political priority also at EU level because they affect the efficient operation of EU mutual recognition instruments 
such as the European Arrest Warrant (EAW), and because of the danger of radicalisation in prisons.  

The Justice Programme finances also the cooperation with the Council of Europe to set up a network of prison monitoring bodies 
and the SPACE report, an annual report on prison statistics.  

Projects  have  been  supported  to  enhance  the  use  of  alternatives  to  imprisonment  both  in  the  pre-trial  and  post-trial  stage  and  to 
improve  detention  conditions  in  the  Member  States.  Funding  has  also  focused  on  projects  relating  to  the  judicial  responses  to 
terrorism, notably on reinforcing the prevention of radicalisation, especially in prisons. In addition to action grants, organisations 
like EuroPris and the Confederation of European Probation (CEP) have obtained regular support via operating grants. 

In 2017, compliance assessment studies have been launched with the programme support in relation to the EAW and the detention 
related  EU  Framework  Decisions.  The  programme's  funding  and  framework  has  also  helped  Member  States  to  implement  new 
instruments and practitioners to become familiar with them, notably the European Investigation Order that had to be transposed by 
May 2017.  

Specific objective 2: Judicial training:  
Efforts  and  funds  devoted  to  European  judicial  training  have  moved  further  this  important  EU  policy.  More  than  600 000  legal 
practitioners were reached in 2016, partly with EU funds. If the trend is maintained, 700 000 legal practitioners will have attended 
training on European Law or on the law of another Member States by 2020, two years before the planned deadline. In 2016, more 
than 14 155 legal practitioners were trained through the Justice Programme's financial support to cross-border training activities and 
to  the  European  Judicial  Training  Network.  The  European  Judicial  Training  Network  trained  judges  and  prosecutors,  judicial 
trainers  and  trainees  from  all  EU  Member  States  in  an  increasingly  efficient  manner  since  its  'cost-to-serve'  ratio,  i.e.  the 
price/person/training day offered in Europe, decreased every year from 630.31 EUR in 2007 to 329.98 EUR in 2016352. 

Specific objective 3: Access to justice: 
The  Justice  Programme  has  contributed  to  the  effective  and  coherent  application  of  EU  criminal  law  in  the  area  of  the  rights  of 
victims  of  crime,  e.g.  Council  Directive  2004/80/EC  relating  to  compensation  to  crime  victims,  Directive  2011/99/EU  in  the 
European Protection Order, Directive 2012/29/EU establishing minimum standards on the rights, support and protection of victims 
of crime,  Regulation (EU) 606/2013 on  mutual recognition of protection  measures in civil  matters.  Over 2014-2016, 6.1 million 
euro  were  awarded  to  27  projects  aiming  at,  for  example,  capacity-building  for  professionals,  multi-disciplinary  cooperation, 
exchanges of good practices, dissemination and awareness-raising. Almost all of these projects involve cross-border cooperation. 
The implementation of these projects is on-going and new projects will be selected under 2017 and 2018 calls for proposals. DG 
Justice  and  Consumer  has  also  signed  Framework  Partnership  and  awarded  operating  grants  to  umbrella  organisations  that 
contribute to the implementation of the Victims' Rights  Directive (Directive 2012/29/EU) at European level, e.g. Victim Support 
Europe, the European Forum for Restorative Justice and more recently the Association of the European Network on Victims' Rights 
which gathers national experts from Members States. 

Similarly, the Justice programme has supported the development and implementation of the measures related to the 2009 Roadmap 
on strengthening the procedural rights of suspects and accused persons in criminal proceedings, namely Directive 2010/64/EU of 
20 October 2010 on the right to interpretation and translation in criminal proceedings, Directive 2012/13/EU of 22 May 2012 on the 
right  to  information  in  criminal  proceedings,  Directive  2013/48/EU  of  22 October  2013  on  the  right  of  access  to  a  lawyer  in 
criminal  proceedings;  Directive  (EU)  2016/343  of  9 March  2016  on  the  strengthening  of  certain  aspects  of  the  presumption  of 
innocence and of the right to be present at the trial in criminal proceedings; Directive (EU) 2016/800 of 11 May 2016 on procedural 
safeguards of children suspected or accused in criminal proceedings and Directive (EU) 2016/1919 of 26 October 2016 on legal aid 
for suspects and accused persons in criminal proceedings. Over 2014-2016, 6.8 million euro were awarded to 25 projects aiming at 
capacity-building  for  professionals,  mutual  learning,  exchanges  of  good  practices,  data  collection,  dissemination  and  awareness-
raising,  etc..  Almost  all  of  these  projects  involve  cross-border  cooperation.  The  implementation  of  most  of  these  projects  is  on-
going. Additional projects will be selected under 2017 and 2018 calls for proposals. 

DG Justice and Consumer has also signed Framework Partnership Agreements and awarded operating grants to  judicial networks 
active  at  European  level,  e.g.  European  Network  of  Councils  for  the  Judiciary,  the  Network  of  the  Presidents  of  the  Supreme 
Judicial courts of the European Union, the  Association of the Councils of State and Supreme Administrative Jurisdictions. These 
networks  are  essential  to  promote  the  EU  policy  on  rule  of  law  and  on  justice  reforms  and  to  collect  data  on  structural  judicial 
independence, which is a precondition for effective access to justice. The data collected by the networks have been used in every 
EU Justice Scoreboard – an annual information tool with comparable data on the independence, quality and efficiency of national 
justice systems – since 2014.  

352 Data from EU national training institutions are gathered to calculate the daily cost. The daily cost in 2017 should be known in March or April 2018. 

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The  Justice  programme  has  also  financed  the  cooperation  between  the  European  Commission  and  the  Council  of  Europe’s 
European Commission for the Efficiency of Justice (CEPEJ). CEPEJ collects data on the functioning of the justice systems of its 
members  according  to  its  well-established  and  recognised  methodology.  These  data  have  enabled  the  European  Commission  to 
successfully expand the EU Justice Scoreboard year after year.  It is an information tool that helps the EU achieve more effective 
justice.  The  scoreboard mainly  focusses  on  civil,  commercial  and  administrative  cases  to  pave  the  way  for  a  more  investment, 
business and citizen-friendly environment. 

The group of contact persons on national justice systems, funded through procurement activities, also plays a key role in collecting 
data  and  sharing  national  practices.  The  Justice  programme  also  finances  targeted  collection  of  data  and  analytical  work  on  the 
practices  of  national  judiciaries  for  improving  and  promoting  the  quality  of  the  national  justice  systems,  including  legal  aid  and 
other elements of access to justice. 

the 

and 

Justice 

finances 

programme 

maintenance 

The 
(https://e-justice.europa.eu/home.do?plang=en&action=home). The portal includes useful documents and databases which facilitate 
access  to  justice  for  citizens  (e.g.  the  information  on  cross-border  legal  proceedings,  rights  of  victims  of  crime  or  defendants  in 
legal  proceedings,  family  law,  the  Find  a  Lawyer  and  Find  a  Notary  interfaces)  and  businesses  (e.g.  Interconnected  insolvency 
registers  search  engines,  Business  registers,  European  Payment  Order  forms  and  land  registers  databases,  the  information  on 
monetary claims and legal professions). Case law, the information on national judicial systems, European Judicial training material, 
etc. are also available for legal practitioners. In 2017, the number of hits by users – close to 2.7 million - showed a six fold increase 
compared to the 2012 baseline. The e-justice portal has evolved throughout the time with an increased and wider content including 
results and tools developed under other projects funder under the Justice programme to become a one-stop shop for citizens and for 
businesses. 

extension 

e-Justice 

the 

of 

Portal                                                            

Specific objective 4: Drugs initiatives: 
In 2017, the new legislative package on New Psychoactive Substances (NPS) was formally adopted and published in the Official 
Journal. The objective of the new legislation, including a Directive and a Regulation, once fully effective in November 2018, is to 
reduce  the  availability  of  those  NPS  that  pose  the  most  serious  risks  through  swifter,  more  effective  action  on  Union  level 
compared to the currently applicable system. The package also strengthens the role of the European Monitoring Centre for Drugs 
and Drug Addiction (EMCDDA) as regards the applicable procedures. 

In  parallel  to  the  legislative  work,  the  key  focus  within  the  drugs-related  objective  continues  to  be  on  expanding  the  knowledge 
base  on  the  phenomenon  of  NPS,  and  in  particular  on  identification  methods  and  protocols,  enhancing  cross-border cooperation 
within the EU in this area and exploring the area of epidemiology of use of new psychoactive substances. In addition, an emphasis 
was put on strengthening the capacity of civil society organisations to contribute to the implementation of the EU Drug Strategy 
2013-2020 and the Action Plan 2013-2016 as well as the one for the period 2017-2020. 

Evaluations / Studies conducted 

The  mid-term  evaluation  of  the  Justice  Programme  started  in  2017  and  should  be  completed  in  2018.  The  preliminary  findings 
show that the overall strategy of the programme is sound and that methods of funding are adequate to achieve the objectives of the 
programme and the needs of the target groups. The programme has delivered high European added value. However, given this high 
European added-value, the sustainability of actions depends largely on EU financing. 

Studies have been conducted to assess the impact of with existing EU civil and criminal justice legal instruments, compliance with 
these instruments and the need for new EU intervention. 

Concerning  the  Drugs  objective,  a  mid-term  evaluation  of  the  EU  Drugs  Strategy  2013-2020  and  a  final  evaluation  of  the  Drug 
Action Plan 2013-2016 funded through the Justice Programme  have been completed and its results  were published on 15 March 
2017, together with the draft EU Drug Action Plan 2017-2020. The evaluation has confirmed that just as it cannot be expected that 
the Drugs Strategy directly drives Member State drug policy, it is unlikely that the Strategy can directly affect the prevalence of 
drug use or size of the drugs market. Nonetheless, the value of monitoring trends in the drug situation is recognised as one  of the 
major pillars of the Strategy and Action Plan, and this provides evidence to policy and decision makers. The evaluation shows that 
the impacts of the horizontal pillars of coordination, international cooperation and information, monitoring, research and evaluation 
manifest themselves more at the institutional level, and therefore demonstrate the added value of a strategy at the EU level. The role 
of  an  EU  Strategy  in  coordinating  law  enforcement  activities,  dealing  with  third  countries  or  international  organisations  or  data 
collection and research adds value to whatever Member States are doing by themselves. The evaluation has also found that there is 
a strong consensus among Member States as to the key features of effective drugs policy. 

Building on the results of the evaluation, and given that the strategic framework will not change before 2020, the new Action Plan 
2017-2020  is  an  updated  version  of  the  EU  Action  Plan  on  Drugs  2013-2016  with  a  number  of  modifications.  It  reflects  the 
findings and the recommendations of the assessment that the Commission found pertinent as well as a number of additional actions 
to address new and emerging priorities which have not been sufficiently covered by the previous Action Plan, but are relevant in 
light of challenges EU Member States are currently facing.  

The Action Plan on Drugs 2017-2020 provides a strengthened response to the newly emerging health and security challenges in the 
area of illicit drug use and trafficking. While maintaining and updating the core policy areas and cross-cutting themes of the overall 
EU  Drugs  Strategy,  the  new  Action  Plan  identifies  new  priority  areas  for  action,  including  the  monitoring  of  new  psychoactive 
substances  as  well  as  the  use  of  new  communication  technologies  for  prevention  of  drug  abuse  and  evidence  gathering  on  the 

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potential connection between drug trafficking and financing of terrorist groups, organised crime, migrant smuggling or trafficking 
in human beings. 

Overall, the EU Drugs Strategy and Action Plan are comprehensive in identifying the relevant actors. However, due to the inherent 
complexity of engaging with such a range of groups, and the fact that the organisational and institutional landscape is continuously 
changing, there is a need to constantly review coordination mechanisms and processes to ensure that all relevant stakeholders are 
considered. The importance of civil society’s role in the area of drugs demonstrates the evolution of stakeholder involvement and 
the need to ensure continued updating. 

Forthcoming implementation (2018-2019)  

The  evaluation  of  calls  for  proposals  and  award  of  grants  planned  under  the  Justice  Work  Programme  2017  will  be  finalised  in 
2018. The AWP 2018 was adopted on 19 December 2017. It provides for: 

6 calls for proposals for action grants,  
1 restricted call for proposals to members of the European Judicial Network in civil and criminal matters,  
2 restricted calls for operating grants for framework partners  
4 direct grants to the Council of Europe for the SPACE report and EU network of prison monitoring bodies, and 
1 operating grant to beneficiary identified in the legal base – the European Judicial Training Network.  

 
 
 
 
 
  Procurement activities, including studies for impact assessment of the Judgments Conventions, access to justice in mass 

harm situations, compliance assessment of mutual recognition instruments. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation  (EU)  No  1382/2013  of  the  European  Parliament  and  of  the  Council  of  17 
December 2013 establishing a Justice Programme for the period 2014 to 2020 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

377,6 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

1,2 
45,8 
47,0 

1,2 
47,2 
48,4 

2017 

1,2 
50,2 
51,4 

1,2 
52,3 
53,5 

1,2 
45,9 
47,1 

1,0 
43,7 
44,6 

1,2 
45,6 
46,8 

2018 

Total 
Programme 
8,2 
330,8 
339,0 

Voted appropriations 

CA 
53,521 

Impl. Rate 
99,67 % 

PA 
36,326 

Impl. Rate 
97,35 % 

CA 
47,149 

Impl. Rate 
8,51 % 

PA 
34,900 

Impl. Rate 
18,17 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

95,12 % 

10,06 % 

19,75 % 

97,60 % 

48,219 

38,504 

36,379 

54,917 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 
75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
E-Justice (EUR 4 340 000 under 33 03 01 - Access to Justice - in 2018) and the Justice Scoreboard (EUR 260 000 under 33 03 01 - 
Access to Justice - in 2018) contribute to the Smart Growth.  
In general, the Justice Programme contributes with all its activities to creating a legal framework and legal certainty that favour 
businesses, economic growth and social inclusion. 

Gender mainstreaming 
In all calls for proposals under the Justice Programme the projects shall seek to promote equality between women and men. This is 
required  by  the  Article  5  of  the  Regulation  (EU)  1382/2013  establishing  a  Justice  Programme  2014-2020.  When  planning  the 

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project, the applicants should demonstrate  in their proposal how this will be respected at implementation stage. Beneficiaries are 
required to detail in their final activity report the steps and achievements they made towards meeting this requirement. 

4. Performance information 

General objectives 

General  Objective  1: to  contribute  to  the  further  development  of  a  European  area  of  justice  based  on  mutual  recognition  and 
mutual trust, in particular by promoting judicial cooperation in civil and criminal matters 
Indicator 1: cumulative number of legal professionals receiving training (not only through the Programme) on EU law or law of 
another Member State, including Civil Justice, Criminal Justice and Fundamental Rights 

Baseline 
2013 

239 000 
Source: DG Justice 
Judicial Training Report 

Specific objectives 

2014 

2015 

371 000 

494 753 

Milestones foreseen 

2016 
420 000 

2017 
490 000 

Actual results 
638 000 

2018 

2019 

Target 2020 

700 000 

Specific Objective 1: to facilitate and support judicial cooperation in civil and criminal matters 
Indicator  1: average  time  of  the  surrender  procedure  (time  between  the  arrest  and  the  decision  on  the  surrender  of  the  person 
sought) under the European Arrest Warrant in cases where the person consents to the surrender 

Baseline 
2005-2013 

14-20 days 
(source: DG Justice from 
national reports to 
Council) 

2014 

2015 

2016 

2017 

Milestones foreseen 

19.4 days 

14 days 

Actual results 

Not available 
yet 

Not available 
yet 

2018 
14 days 

2019 

Indicator 2: number of exchanges of information in the European Criminal Records Information System (ECRIS) 

Baseline 
2012 

300 000 
(source: DG Justice) 

Milestones foreseen 

2014 

2015 

2016 

2017 
2 400 000 

2018 
2 750 000 

2019 
3 125 000 

1 250 000 

1 811 546 

Actual results 
1 978 104 

2 571 991 

Target 2020 

10 days 

Target 2020 

3 500 000 

Expenditure related outputs 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc) 
Mutual learning, cooperation, awareness-raising and dissemination 
Support to key  actors 
Total 

Budget line 

33 03 02 
33 03 02 
33 03 02 

Draft Budget 2019 

Number 

EUR million 

13 
34 
7 
54 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 
Mutual learning,  cooperation,  awareness-raising 
and dissemination 

Support to key actors 

2014 
9 
3 
40 
30 
7 
9 

F 
P 
F 
P 
F 
P 

2018 
13 

Number of outputs foreseen (F) and produced (P) 
2017 
11 
2* 
47 
1 
8 
7 

2016 
8 
2* 
44 
23 
8 
7 

2015 
9 
* 
42 
43 
8 
6 

35 

7 

34 

7 

2019 
13 

* Compilation of procurement data on-going. 2016: The available budget covered for 23 grants.  2017: evaluation of calls for proposals and 
implementation on-going. 

Specific Objective 2: to support and promote judicial training, including language  training on legal terminology,  with a view to 
fostering a common legal and judicial culture 
Indicator 1: the number and percentage of members of the judiciary and judicial  staff that participated in training activities, staff 
exchanges, study visits, workshops and seminars funded by the Programme 

Baseline 

0 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

11 724 (0.84%)  11 984 (0.86%)  13 943 (0.85%)  Data n.a. 

14 155 

Actual results 

16 000 

328/555 

2,7 
7,5 
1,4 
11,6 

2020 
11 

52 

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2014-2015: Percentages corrected. 2017: Evaluation of call for proposals on-going. 2018-2019: Reduction in funds for the justice programme may 
induce a reduction in the number of persons trained. 

Expenditure related outputs 

Outputs 

Training activities 
Mutual learning, cooperation, awareness-raising and dissemination 
Support to key actors 
Total 

Budget line 

33 03 01 
33 03 01 
33 03 01 

Draft Budget 2019 

Number 

EUR million 

29 
2 
1 
32 

Outputs 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination 

Support to key actors 

* Evaluation of applications on-going. 

2014 
40 
38 
9 
3 
1 
1 

F 
P 
F 
P 
F 
P 

2018 
23 

Number of outputs foreseen (F) and produced (P) 
2017 
47 
n.a.* 
7 
n.a.* 
7 
1 

2016 
44 
27 
8 
5 
1 
1 

2015 
42 
30 
9 
2 
1 
1 

2 

1 

2 

1 

2019 
50 

6,0 
0.1 
11,0 
17,1 

2020 
52 

11 

1 

Specific Objective 3: to facilitate effective access to justice for all, including to promote and support the rights of victims of crime, 
while respecting the rights of the defence 
Indicator 1: Number of hits on the e-justice portal 

Baseline 
2012 

2014 

2015 

630 000* 
(Source: DG Justice) 

Milestones foreseen 

2016 
+50% per year 

Actual results 

2017 

2018 

2019 

Target 2020 

+20% per year 

2 692 285* 
*As of 2017, the data are obtained from a new tool for website statistics tracking, with a different calculation method.  The baseline data and data 
for years 2014-2016 were adjusted to the new calculation method.  
Indicator 2: Number of Victim Support Organisations with national coverage (implementation of Directive 2012/29/EU) 

1 624 070* 

2 501 686* 

2 690 574* 

Baseline 
2012 

10 
(Source: DG Justice) 

Milestones foreseen 

2014 

2015 

2016 

2017 
28 VSO (at least one per 
MS). 
At least 20 of these VSO 
fulfilling the quality 
standards/indicators** 

Actual results 

2018 

2019 

Target 2020 

28 VSO – at least one 
VSO in each MS 
fulfilling the quality 
standards/indicators** 

22 VSO 
* Source: FRA report on Victims of crime in the EU: the extent and nature of support for victims 
** The indicators should be developed by the VSO and/or MS and should include inter alia an appropriate geographical coverage of the country 
and a necessary training of the staff. 

20 VSO* 

22 VSO 

22 VSO 

Expenditure related outputs 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
Mutual learning, cooperation, awareness-raising and dissemination 
Support to key actors 
Total 

Budget line 

33 03 01 
33 03 01 
33 03 01 

Draft Budget 2019 

Number 

EUR million 

4 
55 
7 
56 

0,5 
8,8 
2,8 
12,1 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Mutual learning, cooperation, awareness-raising 
and dissemination 

Support to key actors 

*Not available yet -evaluations on-going 

Number of outputs foreseen (F) and produced (P) 

2014 
9 
19 
38 

34 

7 
9 

F 
P 
F 

P 

F 
P 

2015 
9 
11 
41 

37 

3 
7 

2016 
5 
3 
44 
25 
(procurement 
activities not 
included) 
7 
7 

2017 
5 
* 
47 

*  

7 

2018 
7 

2019 
10 

2020 
10 

35 

53 

56 

7 

7 

7 

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Specific Objective 4: to support initiatives in the field of drugs policy as regards judicial cooperation and crime prevention aspects 
closely linked to the general objective of the Programme, insofar as they are not covered by the Internal Security Fund or by the 
Health for Growth Programme 
Indicator  1: number  of  new  psychoactive  substances  assessed  (including  through  testing,  if  necessary)  to  enable  the  EU  or  the 
Member States to take appropriate action to protect consumers, depending on the type and level of risk that they may pose when 
consumed by humans 

Baseline 
2012 

68 
(Source: DG Justice) 

2014 

2015 

2016 

2017 
85 

Milestones foreseen 

100 

Actual results 
66 

52 

Indicator 2: % of problem opioid users that are in drug treatment 

2018 

2019 

Target 2020 

95 

Baseline 
2011 

2014 

2015 

2016 

2017 
55 % 

Milestones foreseen 

2018 

2019 

Target 2020 

50 % 
(Source: EMCDDA) 

Actual results 
50% 
*The estimated percentage of problem opioid users in substitution treatment (OST) across the EU. With regard to the percentage of problem 
opioid users in any type of drug treatment (OST and other drug treatment), estimates from 9 countries are available and rates vary from 19% to 
88%. 

50%* 

60 % 

50% 

50% 

Expenditure related outputs 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc) 
Mutual learning, cooperation, awareness-raising and dissemination 
Total 

Budget line 

18 06 01  
18 06 01 

Draft Budget 2019 

Number 

EUR million 

1 
11 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc) 
Mutual learning,  cooperation,  awareness-raising 
and dissemination 

F 
P 
F 
P 

2014 
2 
5 
8 
5 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
12 
14 

2016 
3 
0 
8 
0 

2018 
2 

2015 
2 
2 
8 
6 

7 

9 

2019 
4 

0.5 
2.375 
2.875 

2020 
4 

9 

5. Programme contribution to the Sustainable Development Goals 
The Justice Programme contributes to the  SDG 5 on  gender equality.  In all calls for proposals under the Justice  Programme the 
projects  shall  seek  to  promote  equality  between  women  and  men.  This  is  required  by  the  Article  5  of  the  Regulation  (EU) 
1382/2013  establishing  a  Justice  Programme  2014-2020.  When  planning  the  project,  the  applicants  should  demonstrate  in  their 
proposal  how  this  will  be  respected  at  implementation  stage.  Beneficiaries  are  required  to  detail  in  their  final  activity  report  the 
steps and achievements they made towards meeting this requirement.  

The Justice Programme contributes to the  SDG 16 on access to justice. The Programme is designed and implemented in order to 
facilitate effective access to justice for all, including promoting and supporting the rights of victims of crime, while respecting the 
rights of the defence. It also supports e-justice projects and the e-Justice Portal which is conceived as a future electronic one-stop-
shop in the area of justice. As a first step it strives to make the life of citizens easier by providing information on justice systems 
and improving access to justice throughout the EU, in 23 languages.  

6. Information about financial instrument(s) and trust fund(s) financed by the Programme – not applicable 

7. Programme related additional information 

Common indicators to the Programme 

Indicator 1: the number of persons reached by awareness-raising activities funded by the Programme 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

833 656* 

126 117**  Not available* 

Actual results 

* Data were collected from the application forms. Actual data will be available from the final reports. 
** 4 calls for proposals of year 2015 and 2016 calls for proposals were manage through a new IT toll initially developed for H2020. Data 
collection on planned output through the dynamic submission form has not been developed yet. 

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Indicator  2:  the  improvement  in  the  level  of  knowledge  of  Union  law  and  policies  in  the  groups  participating  in  activities  funded  by  the 
Programme compared to the entire target group 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

* Estimated number of participants to training activities, based on data in application forms. 

Indicator 3: the number of cases, activities and outputs of cross-border cooperation, including cooperation by means of information technology 
tools and procedures established at Union level 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 
13 943* 

* Data not available. 

Indicator 4: participants' assessment of the activities in which they participated and of their (expected) sustainability 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 

Actual results 

* Data not available. 

Indicator 5: the geographical coverage of the activities funded by the Programme 

Baseline 

0 

Milestones foreseen 

2014 

2015 

2016 

2017 
100% of the 
participating 
countries 

100% of the 
participating 
countries 

100% of the 
participating 
countries 

100% of the 
participating 
countries 

No available 
yet 

Actual results 

2016: Activities taking place in and/or selected beneficiaries from the 26 participating countries. 
2017: Evaluations of proposals on-going. 

2018 

2019 

Target 2020 

100% of the 
participating 
countries 

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HEADING 3: Security and citizenship 

Rights, Equality and Citizenship programme 
Lead DG: JUST 

I. Programme Overview 

What the programme is about? 

The Rights, Equality and Citizenship (REC) Programme aims to contribute to  the further development of an area where equality 
and  the  rights  of  persons,  as  enshrined  in  the  Treaty,  the  Charter  and  international  human  rights  conventions,  are  promoted  and 
protected. Its specific objectives include promoting non-discrimination, rights of persons with disabilities, equality between women 
and men, gender mainstreaming, the rights of the child, as well as the rights deriving from Union citizenship. Furthermore, it aims 
to  combat  racism,  xenophobia,  homophobia  and  other  forms  of  intolerance,  prevent  violence  against  children,  young  people, 
women and other groups at risk (Daphne), and to ensure the highest level of data protection as well as consumer rights. 

Enabling  people  to  exercise  their  rights  as  EU  citizens  helps  to  enhance  trust  and  confidence  in  the  EU.  Enforcement  of  free 
movement rights – and tackling abuse of those rights – enables Member States and citizens to draw the full social and economic 
benefits of free movement. 

EU added value of the programme 

The EU actions funded by the REC programme have contributed to bring tangible benefits to EU citizens. Hereafter some concrete 
examples.  In  many  areas,  such  as  consumer  law,  equality  and  non-discrimination  or  citizenship,  data  protection,  individuals  are 
protected  by  European  legislation,  but  are  not  sufficiently  aware  about  their  rights:  awareness  raising  actions  at  EU-level  are 
necessary to fill this national gap. Thanks to EU funding, the political debate on gender equality has improved and several countries 
took measures to implement new legislation to increase the number of women in decision making positions or to reduce the gender 
pay gap. The EU level intervention has been particularly relevant also to prevent and combat racism, xenophobia, homophobia and 
other  forms  of  intolerance  as  well  as  to  promote  the  exercise  of  rights  deriving  from  the  EU  citizenship  in  view  of  the  lack  of 
significant investment in those fields at national levels. The funding of the European Disability Card which aims at promoting the 
enjoyment of equal rights of disable people across all the EU MS is another example of concrete EU added value. 

II. Programme Update 

Implementation Status (2014-2017) 
Due to the late adoption of the Programme legal act in December 2013, the first AWP353was adopted only in May 2014. All calls 
for proposals from 2014 were closed. The AWP 2015354was adopted in April 2015 with all calls closed and projects selected. All 
funding was committed before the end 2016. AWP 2016355 was adopted on 4 April 2016. 13 calls for proposals of action grants and 
one call for operating grants to support the framework partners were closed. AWP 2017356 was adopted on 1 March 2017. 10 calls 
for proposals of action grants were launched and 8 closed in 2017. 3 calls for operating grants to support the framework  partners 
were closed. AWP 2018 was adopted on 20 December 2017357. There hasn't been any problem in the work program implementation 
that has affected the aimed objectives of the program. 

Most of the activities under the REC Programme contribute to the Juncker Priorities of Justice and Fundamental Rights, Delivering 
a  Union  of  Democratic  Change  and  to  the  European  Security  Agenda  (notably  activities  combatting  racism  and  xenophobia). 
Moreover, the REC Programme also contributes to the Digital Single Market by  supporting activities proposed on data protection 
and  hate  speech  online.  Activities  on  consumer  rights  relating  to  cloud  computing,  digital  contracts  or  the  Consumer  Rights 
Directive  2011/83/EU  also  contribute  to  a  connected  Digital  Single  Market,  as  well  as  to  a  deeper  and  fairer  internal  market. 
Furthermore, the activities pertaining to equality will also contribute to the priority on boosting jobs, growth and investment and a 
deeper and fairer internal market.  

The REFIT Fitness Check of consumer and marketing law concluded in May 2017 that it is overall fit for purpose but needs to be 
better applied and enforced and proposed targeted modernisation provisions. 

Key achievements 

Specific Objective 1: to promote the effective implementation of the principle of non -discrimination on grounds of sex, racial or 
ethnic  origin,  religion  or  belief,  disability,  age  or  sexual  orientation,  and  to  respect  the  principle  of  non-discrimination  on  the 
grounds provided for in Article 21 of the Charter 
In  the  non-discrimination  and  Roma  integration  policy  area,  the  REC  Programme  supports  actions  through  action  grants  and 
operating  grants,  to  ensure  that  discrimination  on  the  grounds  of  religion  or  belief,  age,  disability  and  sexual  orientation  is 

353  
354  
355  
356  
357  

C(2014) 2557 final 
C(2015) 1996 final 
C(2016) 1883 final 
C(2017) 1316 final 
C(2017) 8518 final 

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prohibited whenever possible in the same way it is on grounds of sex and race or ethnic origin. This shall further support DG JUST 
to  continue  to  work  towards  the  adoption  of  the  Equal  Treatment  Directive.  As  a  follow  up  of  the  LGBTI  List  of  Actions  to 
advance LGBTI Equality, 11 projects aiming to contribute to a better awareness raising and protection of rights of LGBTI people 
have been co-funded. In addition, REC programme procurement actions contributed to an advancement of Diversity Charters and 
supported  a  Network  of  legal  experts  in  non-discrimination  and  further  important  training  and  awareness  raising  activities. 
Furthermore, the REC Programme supported the creation of Roma National Platforms in 21 EU Member States. The continuous 
capacity building of their staff as well as the cooperation of these bodies contribute to the completion of the objectives not only of 
the EU Framework for National Roma Integration Strategies but also to other EU objectives related to the social inclusion, gender 
equality or the fight against poverty. A mid-term assessment of the Roma framework has been launched in 2017. This will also aim 
to develop a longer term view on developing a post-2020 strategic approach to Roma integration. 

Specific objective 2: to prevent and combat racism, xenophobia, homophobia and other forms of intolerance 
Important projects have been supported in the area of preventing and combatting racism, xenophobia and other forms of intolerance 
focusing, among others, on combating the specific forms of intolerance such as antisemitism, anti-Muslim hatred, homophobia and 
transphobia  and  encouraging  better  understanding  between  communities  through  interreligious  and  intercultural  activities.  In 
September 2017 the Commission has presented guidelines and principles for online platforms to increase the proactive prevention, 
detection and removal of illegal content inciting hatred, violence and terrorism online. The REC Programme has supported this by 
funding  projects  implemented  by  national  authorities.  A  particular  priority  has  been  set  up  on  projects  aimed  at  preventing  and 
countering  the  spread  of  illegal  hate  speech  online  and  the  development  of  counter-narratives.  Other  funded  projects    aimed  at 
promoting the exchange of best practices to effectively prevent and combat hate crimes (including training, tackling discriminatory 
attitudes by police, recording and data collection, investigation and prosecution practices), enhancing cooperation with civil society 
and supporting victims. Projects should contribute to better implementation of existing EU legislation in the Member States, but 
also to assist the victims of hate crime and hate speech incidents.   

Specific objective 3: to promote and protect the rights of persons with disabilities 
The  REC  programme  has  successfully  funded  a  variety  of  complementary  actions  to  promote  the  active  inclusion  and  full 
participation  of  people  with  disabilities  in  society,  and  to  protect  their  rights.  The  funded  actions  supported  the  efficient 
implementation  of  the  United  Nations  Convention  on  the  Rights  of  Persons  with  Disabilities  (UNCRPD)  and  of  the  European 
Disability Strategy 2010-2020. Concretely, the REC programme supported actions such as the organisation of trainings  for legal 
and policy practitioners to raise their awareness and expertise on the UNCRPD and on EU law related to disability, as well as the 
European  network  of  academic  experts  in  the  field  of  disability  to  provide  data  and  information  on  the  situation  of  people  with 
disabilities in the EU. The REC programme also helped people with disabilities to travel more easily between EU countries, thanks 
to the launch of the European Disability Card358. The REC programme was also instrumental in sharing best practices and raising 
awareness  on  key  issues,  notably  through  the  organisation  of  disability  events  –  such  as  the  European  Day  of  People  with 
Disabilities conference – as well as through the Access City Award, a now well-known prize recognising leading European cities in 
terms of accessibility. 

Specific  objective  4:  To  promote  equality  between  women  and  men  and  to  advance  gender  mainstreaming,  Indicator  2:  the 
percentage of women among non-executive directors on boards of listed companies 
In gender equality, the REC Programme has continuously supported women's participation in the labour market and the elimination 
of discrimination including the gender pay gap, through awareness-raising, exchange of best practices and dedicated projects that 
were co-founded on specific priorities such as equal economic independence including a better work-life balance (10 projects co-
founded in 2016 &2017), and addressing  gender gaps over the life-cycle  (call  launched in 2017). The  REC programme has also 
promoted  projects  to  support  Member  States  and  relevant  stakeholders  to  increase  gender  balance  in  economic  decision-making 
positions at all levels and, in particular, in leadership. Exchange of good practices have been funded showcasing different models, 
with  voluntary  and  binding  measures,  a  Commission  database  on  women  and  men  in  decision  making  has  been  created  and 
funded359. All these activities have paved the way to the Commission legislative proposal on women on boards (under discussion in 
Council).  

The  REC  Programme  also  supports  the  European  network  of  experts  on  gender  equality:  this  network  undertakes  an  annual 
programme  of  policy-oriented  research  and  reports  to  DG  JUST's  Gender  Equality  Unit.  It  is  comprised  of  experts  in  statistics, 
econometrics,  social  protection,  social  inclusion  and  labour  market  economists.  The  network  prepares  various  kinds  of  products 
covering  all  EU  Members-States;  this  work  is  also  used  to  develop  evidence  that  feeds  into  the  Europe  2020  process  thereby 
contributing to the Europe 2020 Strategy and more recently to the 2020 Agenda on Sustainable Development. 

Specific Objective 5: to prevent and combat all forms of violence against children, young people and women, as well as violence 
against other groups at risk, in particular groups at risk of violence in close relationships, and to protect victims of such violence 
The  REC Programme supported many actions targeted at preventing and combating all forms of violence that have prepared the 
ground for the EU and its Member States accession to the Council of Europe Convention on preventing and combating violence 
against women and domestic violence (Istanbul Convention) : The European Union signed the Convention on 13 June 2017. 
Work towards the EU ratification has commenced and is expected to conclude in 2018, the REC continues to support the 
process.  These  include  for  instance  the  support  of  the  Maltese  Presidency  conference  focusing  on  gender-based  violence  in  the 

358 The Card allows for the voluntary mutual recognition of disability status between the participating Member States giving   equal access to benefits identified by 
the participating Member States for the card holders from other countries and to residents with disabilities, mainly in the fields of culture, leisure, sport and transport 
359 The database was transferred to the European Institute for Gender Equality since 2017 onwards. 

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context of intersectional discrimination and women’s access to justice and services on February 2017. On this occasion a web  tool 
for professionals in contact with women affected by female genital mutilation was launched. It also includes the development of an 
EU-wide prevalence survey, coordinated by Eurostat, to get new data on VAW with a  pilot phase implemented in 2018 involving 
11 national statistics authorities with additional Member States to follow.  
The  calls  for  proposals  published  in  2016  had  a  clear  focus  on  awareness-raising.  The  selected  projects  then  formed  part  of  the 
focused  actions  on  violence  against  women  that  the  Commission  implemented  in  2017,  with  €15  million  made  available  to  12 
national authorities and 32 grass roots projects. Projects results include for instance the training of doctors and nurses in Finland to 
recognise signs of violence, to encourage disclosure and reporting of violence, and to raise awareness of support services available. 
It  is  expected  that  around  1.000  professionals  in  social  and  healthcare  services  will  have  benefited  from  the  training  developed 
through this project.  Other example is the  incorporation of specific training on  violence against  women  in the curriculum of  the 
Police  Academy  in  Cyprus  with  a  focus  on  registration  of  complaints,  investigation  and  prosecution.  The  training  curriculum 
targeted  200  professionals  (police  and  public  authorities)  through  4  training  sessions.  In  The  Netherlands,  a  women's  shelter 
organisation  is  mobilising  housing  providers  to  help  tackle  domestic  violence  by  training  caretakers,  maintenance  workers  and 
many others. More than 20.000 victims of violence, 15 housing providers in the Netherlands and the 10 in the UK (10) is expected 
to have benefitted from this projects.  

Specific objective 6: to promote and protect the rights of the child 
The rights of the child and the prevention of and responses to violence against children (SDG 16.2) are strongly promoted through 
the funding of the REC Programme. The objectives of the 2011 EU Agenda for the Rights of the Child have been underpinned by 
the  programme,  especially  in  the  area  of  the  child-friendly  justice  and  targeting  EU  action  to  protect  children  when  they  are 
vulnerable  (e.g.  capacity-building  for  integrated  child  protection  systems)  through  calls  for  proposals  for  action  grants  and 
operating grants. The REC programme responds to emerging needs and challenges and addresses the needs of children in migration 
(this  group  was  included  in  all  action  calls  launched  under  2016  and  2017  calls).  Under  the  2016  Programme  six  projects  were 
funded  in  the  area  of  capacity  building  on  rights  of  the  child  and  child  protection  for  professionals  in  asylum  and  migration  on 
guardianship  and  foster-care  for  unaccompanied  children360  and  three  projects  supporting  integrated  and  multidisciplinary  child-
centred  approaches  (e.g.  Barnahus)  to  child  victims  of  violence361.  Four  projects  received  funding  to  educate  and  raise  the 
awareness of girls and boys about gender-based violence as a way to prevent it at an early stage362. Under 2017 REC programme a 
call for proposals to support children ageing out of/leaving alternative care363 was launched. More generally, for several years now, 
for all grant applications involving contacts with children, we require the submission of the organisation’s child safeguarding policy 
and we note improvements from year to year in the quality of these policies. This step raises awareness of the importance of child 
safeguarding and also contributes to SDG 16.2. 

The REC Programme finances the annual European Forum on the Rights of the Child, a platform for dialogue with stakeholders. 
The 11th edition took place on 6-8 November 2017 with more than 300 participants Projects in the area of rights of the child are 
always  grounded  in  EU  law  and  international  standards  and  have  served  to  test  new  approaches,  enhance  cooperation  and 
coordination, and improve the implementation of standards. 

Specific objective 7: to contribute to ensuring the highest level of protection of privacy and personal data  
Rapid technological developments and globalisation have brought new challenges for the protection of personal data. The scale of 
the  collection  and  sharing  of  personal  data  has  increased  significantly.  The  data  protection  reform  which  aims  at  strengthening 
citizen’s  rights  and  cutting  costs  and  red  tape  for  European  business  was  adopted  and  entered  into  force  in  2016.  The  REC 
supported the  preparation of an online  guidance toolkit  related to the  General Data Protection Regulation GDPR (in the  form of 
Q&As)  aimed  at  businesses/organisations  and  at  citizens  to  be  launched  on  24  January  2018,  and  its  dissemination  through  an 
information  campaign.  Finally,  the  REC  supported  the  dialogue  with  stakeholders  on  GDPR  (e.g.  with  SMEs,  consumer 
organisations, etc.). 

Specific objective 8: to promote and enhance the exercise of rights deriving from citizenship of the Union 
Enabling  people  to  exercise  their  rights  as  EU  citizens  helps  to  enhance  trust  and  confidence  in  the  EU.  Enforcement  of  free 
movement rights – and tackling abuse of those rights – enables Member States and citizens to draw the full social and economic 
benefits of free movement. The REC Programme has been supporting these efforts also through financing the Citizenship reports 
and biannual calls for proposals for action grants. Especially, in these times, when the confidence in the EU and its institutions is 
declining, the role of the REC Programme is quintessential. Fostering the successful inclusion and political participation of mobile 
EU citizens in the civic and political life is one important dimension of EU citizenship. National, local authorities and  NGOs have 
high expectations for support for such actions. 

Specific objective 9: to enable individuals in their capacity as consumers or entrepreneurs in the internal market to enforce their 
rights deriving from Union law, having regard to the projects funded under the Consumer Programme. 
Consumers and retailers' awareness of their rights and obligations is still low  – e.g. correspondingly less than 40% for consumers 
and less than 60% for retailers. The Fitness Check of Consumer and Marketing Law364 (covering 6 directives), published in May 
2017 and based on three studies funded by the REC programme, concluded that the substantive consumer protection provisions of 
those directives are overall  fit for purpose but that the  main obstacle preventing achievement of  the objectives of the legislation 

360 http://ec.europa.eu/research/participants/portal/doc/call/rec/rec-rchi-prof-ag-2016/1800109-abstracts_awarded_-_rec-rchi-prof-ag-2016_en.pdf 
361 https://ec.europa.eu/research/participants/portal/doc/call/rec/rec-rdap-chil-ag-2016/1802648-abstracts_awarded_-_rec-rdap-chil-ag-2016_en.pdf 
362 https://ec.europa.eu/research/participants/portal/doc/call/rec/rec-rdap-awar-ag-2016/1800110-abstracts_awarded_-_rec-rdap-awar-ag-2016_en.pdf 
363 http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/rec/topics/rec-rchi-prof-ag-2017.html 
364 http://ec.europa.eu/newsroom/just/item-detail.cfm?item_id=59332 

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covered by the Fitness Check is the insufficient enforcement of the rules, coupled with consumers' still limited awareness of their 
rights and shortcomings over redress opportunities, which detracts from consumers' propensity to seek redress. The Fitness Check 
findings  are  being  followed-up  by  legislative  proposals  in  the  context  of  the  'New  deal  for  consumers'  package,  planned  to  be 
adopted in 2018. 

Evaluation/ Studies conducted 

The mid-term evaluation of the REC programme has been launched in 2017 and will be published by 30 June 2018 as foreseen in 
the regulation. The preliminary findings of the 2018 mid-term evaluation show that the intervention strategy of the Programme is 
still adequate to achieving the desired objectives and still relevant to the needs of the beneficiaries, as confirmed by the fact that 
more than 60% of surveyed beneficiaries and stakeholders indicated that funding received is effective to a high or very high extent. 
The typologies of implementing measures (Operating Grants, Action Grants, Direct Grants and Procurement) are in line with the 
objectives of the Programme and with the needs of stakeholders eligible for support. The transnational dimension represents a key 
feature and an important added value of the European funding for the REC Programme, promoting the exchange of information at 
EU  level  as  well  as  mutual  learning  and  the  dissemination  of  practices  in  the  area  of  protection  of  rights,  citizenship  and  anti-
discrimination. 

Forthcoming implementation (2018-2019) 

The 2018 Annual Work Programme  was adopted on 20 December  2017. It includes  nine calls  for proposals  for action  grants, 3 
calls for proposals for operating grants to support European networks under the Framework Partnership Agreements that have been 
signed in 2017. It also includes one operating grant to beneficiary identified in the legal base–EQUINET as well as procurements to 
ensure the organisation of meetings, exchange of good practices, studies, etc. 

In 2016, DG Justice and Consumers started to use a new system, the H2020 IT tools, for the management of grants in the Justice 
Programme. In 2017 this tool has been extended to the REC Programme. This migration is expected to provide positive effects in 
the  medium-term  and  is  expected  to  be  at  full  speed  by  the  end  of  2018,  while  the  year  2017  was  a  year  of  investment  and 
adaptation to the new system. The 2019 AWP is planned to be adopted in December 2018. 

III. Programme key facts and performance framework 
1. Financial programming 

Regulation (EU) No 1381/2013 of the European Parliament and of the Council of 17 December 2013 
establishing a Rights, Equality and Citizenship Programme for the period 2014-2020 

Legal Basis 

Period of 
application 

2014 - 2020 

Reference Amount 
(EUR million) 

439,5 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

1,1 
54,2 
55,3 

1,1 
56,3 
57,4 

2017 

1,1 
58,9 
60,0 

1,1 
62,5 
63,6 

1,1 
62,3 
63,4 

1,0 
64,8 
65,7 

1,1 
67,4 
68,5 

2018 

Total 
Programme 
7,6 
426,2 
433,8 

Voted appropriations 

CA 
63,615 

Impl. Rate 
99,99 % 

PA 
49,337 

Impl. Rate 
98,05 % 

CA 
63,382 

Impl. Rate 
1,86 % 

PA 
44,900 

Impl. Rate 
44,30 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

96,92 % 

44,82 % 

98,81 % 

2,08 % 

64,483 

50,788 

46,205 

64,506 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 
75% of the population aged 20-64 should be employed 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
Actions financed in the areas of the data protection and of the consumer protection will contribute to smart growth. 
Actions financed in the areas of non-discrimination and Roma integration, promoting the rights of persons with disabilities, and 
gender equality will contribute to inclusive growth.  

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Gender mainstreaming 
REC  Programme  supports  in  many  ways  the  gender  mainstreaming.  Under  its  specific  objective  'To  promote  equality  between 
women and men and to advance gender mainstreaming' every year calls for action grants are launched to support Member States' 
activities to improve gender equality in national policies and programmes (2014), to support projects to promote good practices on 
gender roles and to overcome gender stereotypes in education, training and in the workplace (2015),  to support national project in 
raising awareness and education activities aimed at preventing and combating violence against women (2016) and to fight against 
gender gaps (2017).  The Programme  is also funding projects to support and enhance the democratic participation of mobile EU 
citizens, particularly underrepresented groups such as women, including engagement in public debate and participation in local and 
EU elections (2018). Furthermore, the Programme funds projects under its specific objective 'to prevent and combat all forms of 
violence against children, young people and women, as well as violence against other groups at risk, in particular groups at risk of 
violence in close relationships', and to protect victims of such violence'. Operating grants are provided to EQUINET, a network of 
national equality bodies and to the European Women's Lobby. In 2019 the Programme's total contribution to gender mainstreaming 
is EUR 24,043 million including procurement of training seminars, studies and evaluations. 

In all calls for proposals under the REC Programme the projects shall seek to promote equality between women and men. When 
planning  the  project,  the  applicants  should  demonstrate  in  their  proposal  how  this  will  be  respected  at  implementation  stage. 
Beneficiaries are required to detail in their final activity report the steps and achievements they made. 

4. Performance information 

General objectives 

General Objective 1: to contribute, to the further development of an area where equality and the rights of persons as enshrined in 
the Treaty on European Union, in the Treaty on the Functioning of the European Union, in the Charter of Fundamental Rights of 
the European Union and in the international human rights conventions to which the Union has acceded, are promoted, protected and 
effectively implemented. 
Indicator  1: progress  towards  equal  participation  in  the  labour  market:  (a)  female  employment  rate  20-64  age  group  (b) 
employment rate of people with disabilities (c) the gender pay gap (d) the percentage of women among non-executive directors on 
boards of listed companies 

Baseline 

(a) 62,4 % (2012) 
(b) 48,5% (2013) EU-SILC 
(c) 16,8% (2013) 
(d) 16,2 % (2011) 
Source: 
European Commission 

Milestones foreseen 

2014 

2015 

2016 

2017 
(a) 68 % 
(b) 50 % 
(c) 15 % 
(d) 30 % 

(a) 63,5% 
(b) 48,7% 
(c) 16,7% 
(d) 20,2% 

(a) 64,3% 
(b47,4% 
(c) 16.3%365 
(d) 22,7% 

Actual results 

(a) 65,5% (2016 
Q3) 
(b) n.a. 
(c) n.a. 
(d) 23,9% 

(a) 66,6% 
(2017 Q3) 
(b) n.a. 
(c) n.a. 
(d) 25,3% 

2018 

2019 

Target 2020 

(a) 75 % (for both 
women and men): 
Europe 2020 headline 
target; 71 % for 
women 
(b) 55 % 
(c) 14 % 
(d) 40 % 

Indicator 2: percentage of Europeans who consider themselves as well or very well informed of the rights they enjoy as citizens of 
the Union 

Baseline 
2010 

32 % 
(Source: Eurobarometers) 

2014 

2015 

2016 

2017 
45 % 

2018 

2019 

Milestones foreseen 

42% 

Actual results 

NA366 

NA 

Target 2020 

51 % 

Specific objectives 
Specific Objective 1: to promote the effective implementation of the principle of non  -discrimination on grounds of sex, racial or 
ethnic  origin,  religion  or  belief,  disability,  age  or  sexual  orientation,  and  to  respect  the  principle  of  non-discrimination  on  the 
grounds provided for in Article 21 of the Charter 
Indicator 1: share of persons aware of their rights if they fall victims of discrimination 

Baseline 
2012 

37 % 
(Source: Eurobarometers) 

Milestones foreseen 

2014 

2015 

2016 

2017 
55 % 

2018 

2019 

NA 

45% 

NA * 

NA * 

Actual results 

Target 2020 

70 % 

*These data comes from  Flash Eurobarometers (done in 2015)  and are not included in the Standard Eurobarometer 
Indicator 2: the number of Member States that set up structural co-ordination mechanisms with all stakeholders, including Roma, 
on the implementation of the National Roma Integration Strategies 

Baseline 

Milestones foreseen 

Target 2020 

365 2015 data provided in 2017 
366 These data comes from  Flash Eurobarometers (done in 2015)  and are not included in the Standard Eurobarometer 

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2013 
no Member States 
(source: national reporting 
to DG Justice) 

2014 

2015 

2016 

2017 
22 

2018 

2019 

Actual results 

27 

13 MS 

17 MS 

21 MS 

21 MS 

Indicator 3: the number of applications and grants related to this specific objective 

Baseline 

2014 

2015 

Milestones foreseen 

2016 

2017 

2018 
123 appl. 
29 grants 

2019 

Target 2020 

130 appl. 
30  grants 

0 
(01.01.2014) 

Actual results 

99 appl. 
 9 grants* 
* The selection procedure is still on-going for one out of two calls for proposals.  
Indicator 4: the level of funding requested by applicants and granted in relation to this specific objective 

286 appl. 
18 grants 

120 appl. 
28 grants 

210 appl. 
32 grants 

Baseline 

2014 

2015 

2016 

2017 

Milestones foreseen 

0 
(01.01.2014) 

Actual results 

85 215 025 EUR 
requested / 7 163 
532 EUR granted 

58 136 622 EUR 
requested 
/ 7 562 114 EUR 
granted 

29 995 503,57 
EUR requested  
/4 492 600,63 
EUR granted 

26 225 648,78 
EUR requested 
/ NA 

2018 
30 682 000 EUR 
requested / 4 600 000 
EUR granted 

2019 

Target 2020 

31000 000 EUR 
requested 
5 000 000 EUR 
granted  

Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 02 
33 02 02 
33 02 02 
33 02 02 

Draft Budget 2019 

Number 
1 
3 
39 
2 
45 

EUR million 
1,6 
0,5 
8,4 
1,3 
11,8 

Outputs 

1. Analytical activities (e.g. studies, evaluations, 
collection of data and statistics, etc.) 

2. Training activities 

3.  Mutual  learning,  cooperation,  awareness-
raising and dissemination 

4. Support to key actors 

2014 
3 
7 
1 
0 
28 
12 
10 
7 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
1 

2018 
1 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
6 
5 
35 
30 
7 
6 

2016 
2 
1 
1 
0 
30 
0 
8 
6 

2015 
3 
5 
1 
5 
33 
32 
8 
6 

38 

3 

2 

3 

39 

2 

2020 
4 

2 

42 

10 

Specific Objective 2: to prevent and combat racism, xenophobia, homophobia and other forms of intolerance 
Indicator 2: the number of applications and grants related to this specific objective 

Baseline 

2014 

2015 

2016 

2017 

Milestones foreseen 

2019 

Target 2020 

2018 
223 appl. 
20 grants 

0 
(01.01.2014) 

Actual results 

250 appl. 
32 grants 

70 appl. 
14 grants 
* New call for proposals was launched within this priority. Data for 2017, compared to 2016, contain information for 3 calls for proposals.   
** The selection procedure is still on-going for two out of three calls for proposals  
Indicator 3: the level of funding requested by applicants and granted in relation to this specific objective 

208 appl.* 
3 grants ** 

134 appl. 
10 grants 

85 appl. 
9 grants 

Baseline 

2014 

2015 

2016 

2017 

Milestones foreseen 

0 
(01.01.2014) 

Actual results 

51 222 230 EUR 
requested 
/5 203 107 EUR 
granted 

70 368 496 EUR 
requested 
/ 5 347 131 EUR 
granted 

29 544 286,47 
EUR requested 
/6 295 034,11 
EUR granted 

83 597 212,30 
EUR requested  
/ NA 

2018 
89 600 000 EUR 
requested /7 000 000 
EUR granted 

2019 

Target 2020 

95 000 000 EUR 
requested  
7 700 000 EUR 
granted 

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Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 02 
33 02 02 
33 02 02 
33 02 02 

Draft Budget 2019 

Number 
2 
0 
23 
6 
31 

EUR million 
0,7 
0 
6,4 
3,3 
10,4 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination 

Support to key actors 

2014 
0 
5 
0 
0 
6 
4 
3 
1 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
2 

2018 
2 

Number of outputs foreseen (F) and produced (P) 
2017 
0 
0 
0 
0 
25 
20 
1 
1 

2016 
0 
0 
0 
0 
17 
0 
0 
0 

2015 
0 
5 
0 
0 
8 
11 
3 
0 

23 

0 

6 

0 

23 

6 

2020 
1 

1 

18 

4 

Specific Objective 3: to promote and protect the rights of persons with disabilities 
Indicator 2: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014 

2015 

2016 

2017 

Milestones foreseen 

16 appl. 
16 grants 

8 appl. 
8 grants 

Actual results 
8 appl. 
8 grants 

10 appl. 
7 grants 

2018 
7 appl. 

2019 
12 appl. 

Target 2020 

Indicator 3: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

0 
(01.01.2014) 

2014 

2015 

2016 

2017 

Milestones foreseen 

2018 

2019 
2 800 000  4 3000 000 

Target 2020 

4 410 090 EUR 
requested 
/ 3 785 080 EUR 
granted 

2 549 023 EUR 
requested 
/ 2 549 087 EUR 
granted 

3 000 000 EUR 
requested  
/2 680 185 EUR 
granted 

3 500 000 EUR 
requested/        2 
697 878,64 EUR 
granted 

Actual results 

Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 02 
33 02 02 
33 02 02 
33 02 02 

Draft Budget 2019 

Number 
5 
6 
3 
10 
24 

EUR million 
0,7 
0,4 
1,3 
4,3 
6,7 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination statistics 

Support to key actors 

2014 
1 
2 
1 
0 
18 
13 
6 
8 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
5 

2018 
5 

Number of outputs foreseen (F) and produced (P) 
2017 
5 
5 
6 
6 
14 
3 
8 
7 

2016 
2 
5 
1 
6 
6 
3 
8 
8 

2015 
1 
2 
1 
0 
5 
5 
8 
8 

6 

7 

3 

6 

3 

10 

2020 
5 

6 

3 

7 

Specific Objective 4: to promote equality between women and men and to advance gender mainstreaming 
Indicator 4: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014* 

2015* 

Milestones foreseen 

2016 

2017 

2019 

2018 
17 appl. 
12 grants 

Target 2020 

18 appl. 
13 grants 

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19 appl. 
11 grants 

123 appl. 
10 grants 

Actual results 

NA** 

14 appl. 
NA*** 

* In 2014, DG JUST launched a restricted call for proposals only for national authorities or other bodies in charge of gender equality, while in 
2015 the call for proposals was open to all organisations.  
**There was no call for proposals for AG in 2016 *** The selection procedure is still on-going 
Indicator 5: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

2014* 

2015* 

Milestones foreseen 
2016 

2017 

0 
(01.01.2014) 

6 970 769 EUR 
requested / 
3 885 203 EUR 
granted 

56 674 772 EUR 
requested 
/ 4 379 579 EUR 
granted 

Actual results 

/  

6 423 194,77 EUR 
requested / NA 

2018 
7 700 000 EUR 
requested /    
3 700 000 EUR 
granted 

2019 

Target 2020 

8000 000 EUR 
requested 
4 000 000 EUR 
granted 

* In 2014, DG JUST launched a restricted call for proposals only national authorities or other bodies in charge of gender equality , while in 2015 
the call for proposals was open to all organisations. 

Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 02 
33 02 02 
33 02 02 
33 02 02 

Draft Budget 2019 

Number 
2 
0 
23 
2 
27 

EUR million 
1,8 
0 
4,9 
1,1 
7,8 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination statistics, etc.) 

Support to key actors 

2014 
2 
9 
1 
0 
19 
11 
2 
1 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
2 

2018 
2 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
0 
0 
25 
22 
2 
1 

2016 
2 
0 
0 
0 
23 
0 
2 
2 

2015 
2 
3 
1 
4 
21 
4 
2 
2 

21 

0 

2 

0 

23 

2 

2020 
3 

2 

31 

3 

Specific Objective 5: to prevent and combat all forms of violence against children, young people and women, as well as  violence 
against other groups at risk, in particular groups at risk of violence in close relationships, and to protect victims of such violence 
Indicator 1: percentage of people that consider that domestic violence against women is unacceptable 

Baseline 
2010 

84 % 
(Source: Eurobarometers) 

2014 

2015 

2016 

2017 
90 % 

2018 

2019 

Milestones foreseen 

Actual results 
84% 

96%367 

Target 2020 

100 % 

Indicator 2: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014 

2015 

2016 

2017 

Milestones foreseen 

391 appl. 
31 grants 

379 appl. 
52 grants 

174 appl. 
19 grants 

180 appl. 
NA* 

Actual results 

2018 
278 appl. 
31 grants 

2019 

Target 2020 

300 appl. 
33 grants 

* The selection procedure is still on-going 
Indicator 3: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

0 

2014 

2015 

2016 

2017 

Milestones foreseen 

2018 
99 750 000 EUR 
requested /  13 300 

2019 

Target 2020 

120000 000 EUR 

367 Source: Special Eurobarometer 449 (2016) 

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(01.01.2014) 

000 EUR granted 

Actual results 

115 828 887 
EUR requested/ 
11 407 709 EUR 
granted 

141 024 339 
EUR requested / 
11 663 047 EUR 
granted 

62 366 927,44 
EUR requested 
/ 8 268 518,81 
EUR granted 

65 755 864,37 
EUR requested  
/NA 

requested 
14 000 000 EUR 
granted 

Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 01 
33 02 01 
33 02 01 
33 02 01 

Draft Budget 2019 

Number 
12 
0 
36 
7 
51 

EUR million 
4,6 
0 
10,1 
2,3 
17,0 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination statistics, etc.) 

Support to key actors 

2014 
0 
0 
0 
13 
40 
11 
8 
7 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
12 

2018 
12 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
0 
0 
29 
28 
9 
7 

2016 
1 
0 
0 
0 
45 
0 
4 
4 

2015 
0 
2 
0 
21 
44 
29 
4 
4 

32 

7 

0 

0 

36 

7 

2020 
0 

0 

64 

5 

Specific Objective 6: to promote and protect the rights of the child 
Indicator 2: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014 

2015 

Milestones foreseen 

2016 

2017 

73 appl. 
15 grants 

41 appl. 
11 grants 

16 appl. 
8 grants 

40 appl.  
10 grants* 

Actual results 

2018 
43 appl. 
11 grants 

2019 

Target 2020 

45 appl. 
12 grants 

10 grants were proposed for funding, the granting procedure is still on-going 
Indicator 3: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

2014 

2015 

2016 

2017 

Milestones foreseen 

0 
(01.01.2014) 

Actual results 

27 725 533 EUR 
requested/ 
4 213 515 EUR 
granted 

14 621 487 EUR 
requested / 3 461 
829 EUR granted 

6 833 383,84 
EUR requested 
3 420 985,25 
EUR granted 

14 479 812,04 
EUR requested 
/NA 

2018 
15 600 000 EUR 
requested  / 4 000 000 
EUR granted 

2019 

Target 2020 

16 000 000 EUR 
requested 4 200 000 
EUR granted 

Expenditure related outputs 

Outputs 

1. Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
2. Training activities 
3. Mutual learning, cooperation, awareness-raising and dissemination 
4. Support to key actors 
Total 

Budget line 

33 02 01 
33 02 01 
33 02 01 
33 02 01 

Draft Budget 2019 

Number 
0 
0 
16 
3 
19 

EUR million 
0 
0 
4,5 
0,6 
5,1 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination statistics, etc.) 

Support to key actors 

2014 
0 
0 
4 
10 
10 
1 
2 
5 

F 
P 
F 
P 
F 
P 
F 
P 

2019 
0 

2018 
0 

Number of outputs foreseen (F) and produced (P) 
2017 
0 
0 
0 
0 
17 
6 
3 
3 

2016 
0 
0 
0 
0 
15 
0 
3 
3 

2015 
0 
0 
2 
8 
12 
1 
3 
3 

16 

0 

3 

0 

16 

3 

2020 
0 

6 

16 

3 

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Specific Objective 7: to contribute to ensuring the highest level of protection of privacy and personal data 
Indicator 1: number of complaints received by data protection authorities from individuals relating to data protection 

Baseline 
2012 

68 569 
(Sources: DG Justice) 

2014 

2015 

2016 

2017 
55 000 

2018 

2019 

Milestones foreseen 

NA 

NA 

Actual results 
NA 

NA 

Indicator 2: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014* 

2015* 

2016 

2017 

2018*** 

2019**** 

Milestones foreseen 

0 

0 

Actual results 

15 appl. 
6 grants 

13 appl* 
NA** 

Target 2020 

60 000 

Target 2020**** 

* First call for proposals to support training activities on the data protection reform was launched in 2016. ** 8 grants were proposed for funding, 
the granting procedure is still on-going *** There is no call for proposals for AG foreseen in 2018. **** It is still not decided if there will be calls 
in 2019 and 2020 
Indicator 3: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

0 
(01.01.2014) 

2014* 

2015* 

2016 

2017 

2018 

2019** 

Milestones foreseen 

Target 2020** 

0 

0 

Actual results 

4 825 181,49 
EUR requested  
/1 718 190,78 
EUR granted 

4 406 834,50 
EUR 
requested 
/NA 

* First call for proposals to support training activities on the data protection reform was launched in 2016. 
** It is still not decided if there will be calls in 2019 and 2020. 
Expenditure related outputs 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
Mutual learning, cooperation, awareness-raising and dissemination 
Total 

Budget line 

33 02 01 
33 02 01 

Draft Budget 2019 

Number 
6 
8 
14 

EUR million 
0,8 
1,2 
2,0 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 
Mutual learning,  cooperation,  awareness-raising 
and dissemination 

F 
P 
F 
P 

2014 
3 
3 
3 
3 

Number of outputs foreseen (F) and produced (P) 
2017 
3 
2 
13 
9 

2016 
3 
0 
3 
0 

2018 
6 

2015 
3 
0 
3 
2 

8 

8 

2019 
6 

2020 
6 

6 

Justification of changes to the financial programming and/or to the performance information 
The 2017 data protection call for action grants REC-RDAT-TRAI-AG-2017 was published on 30 March 2017, along with the other 
2017 calls, as an open call with the budget of EUR 1 000 000.  To respond to the need of the national Data Protection Authorities to 
prepare for the entry into force of the General Data Protection Regulation (will apply as from 25 May 2018), the call was changed 
via a substantial modification to the 2017 REC AWP adopted on 30 October 2017 and became a restricted call for national Data 
Protection Authorities with a budget increased to EUR 2 000 000.  This call closed on 25 January 2018. 12 eligible proposals were 
received. The overall amount of grants requested is EUR 3 056 834, 50 and the proposals received are now under evaluation. The 
results of the evaluation of the 12 eligible proposals are expected to be known by end of March 2018.  

Specific Objective 8: to promote and enhance the exercise of rights deriving from citizenship of the Union 
Indicator 1: awareness of the Citizenship of the Union and of the rights attached to it: (a) share of the population that knows the 
meaning of Citizenship of the Union (b) share of the population considering themselves as well or very well informed of the rights 
they enjoy as citizens of the Union 

Baseline 
2013 

(a) 46 % 
(b) 36 % 
(source: Eurobarometers) 

Milestones foreseen 

2014 

2015 

2016 

2017 
50 % 
45 % 

(a) 52 % 
(b) 42 % 

Actual results 

NA 

NA 

2018 

2019 

Target 2020 

53 % 
51 % 

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Indicator  2: awareness  of  the  right  to  vote  and  to  stand  as  candidate  in  European  election  in  the  Member  State  of  residence, 
without having the nationality of that Member State 

Baseline 
2013 

72 % 
(source: Eurobarometers) 

2014 

2015 

2016 

2017 
76 % 

2018 

2019 

Milestones foreseen 

67% 

Actual results 
NA 

NA 

Indicator 3: the number of applications and grants related to this specific objective 

Target 2020 

80 % 

Baseline 

0 
(01.01.2014) 

2014 

2015* 

2016 

2017 

Milestones foreseen 

84 appl. 
6 grants 

0 

Actual results 

25 appl. 
5 grants 

15 appl.  
2 grants** 

2018 
31 appl. 
6 grants 

2019 

Target 2020 

30 appl. 
5 grants 

* No calls for proposals for action grants and operating grants, only procurement 
** 2 grants were proposed for funding, the granting procedure is still on-going 
Indicator 4: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

2014 

2015* 

2016 

2017 

Milestones foreseen 

0 
(01.01.2014) 

20 724 779 EUR 
requested / 1 464 
069 EUR granted 

0 

Actual results 

6 391 136,02 
EUR requested 
/1 214 925,70 
EUR granted 

4 971 076,59 
EUR requested 
/NA 

* No calls for proposals for action grants and operating grants, only procurement 
Expenditure related outputs 

2018 
7 950 000 EUR 
requested /1 500 000 
EUR granted 

2019 

Target 2020 

7 500 000 EUR 
requested 
1 300 000 EUR 
granted 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
Training activities 
Mutual learning, cooperation, awareness-raising and dissemination 
Total 

Budget line 

33 02 01 
33 02 01 
33 02 01 

Draft Budget 2019 

Number 
3 
0 
16 
19 

EUR million 
0,7 
0 
1,7 
2,4 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 

Training activities 

Mutual learning,  cooperation,  awareness-raising 
and dissemination 

2014 
2 
3 
0 
1 
7 
6 

F 
P 
F 
P 
F 
P 

2018 
3 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
0 
0 
5 
2 

2016 
0 
0 
0 
0 
10 
0 

2015 
2 
2 
0 
0 
7 
4 

16 

0 

0 

16 

2019 
3 

2020 
4 

0 

9 

Specific Objective 9: to enable individuals in their capacity as consumers or entrepreneurs in the internal market to enforce their 
rights deriving from Union law, having regard to the projects funded under the Consumer Programme 
Indicator 1: the perception of consumers of being protected 

Baseline 
2011 
64 %* 
(source: Consumer 
Conditions Scoreboard) 

2014 

2015 

2016 

2017 
73 % 

2018 

2019 

Milestones foreseen 

70 %* 

Actual results 
76% 

n.a. 

Target 2020 

75 % 

* The methodology was slightly revised as of 2016. 
Indicator 2: consumer and retailer awareness of rights and obligations: (a): percentage of consumers who are aware of their right 
to keep the unordered product sent to them together with an invoice (b): percentage of retailers in the EU who know that including 
invoices with marketing material (for unordered products) is prohibited 

Baseline 
2011 

(a) 36 %* 
(b) <51 % 
(source: Consumer 
Conditions Scoreboard) 

2014 
(a) 32 % 
(b) 55 % 

(a) 34 %* 
(b) 54 %* 

Milestones foreseen 

2015 

2016 

2017 
37 % 
56 % 

Actual results 

(a) 34% 
(b) 56% 

n.a. 

* The methodology was slightly revised as of 2016 

2018 

2019 

Target 2020 

39 % 
60 % 

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Indicator 3: level of consumer confidence in cross-border online shopping, as measured by the percentage of consumers who feel 
confident purchasing via internet from retailers/service providers from another country 

Baseline 
2012 

2014 

2015 

2016 

Milestones foreseen 

2017 
45 % 

2018 

2019 

Target 2020 

50 % 

Actual results 
58% 

n.a. 

34 %* 
(source: Consumer 
Conditions Scoreboard) 

37% 

* The methodology was slightly revised as of 2016. 
Indicator 4: the number of applications and grants related to this specific objective 

Baseline 

0 
(01.01.2014) 

2014* 

2015* 

Milestones foreseen 
2016* 

2017* 

2018 

2019 

Target 2020 

0 

0 

Actual results 
0 

0 

* No calls for proposals for action grants and operating grants planned, only procurement. 
Indicator 5: the level of funding requested by applicants and granted in relation to this specific objective 

Baseline 

0 
(01.01.2014) 

2014* 

2015* 

Milestones foreseen 
2016* 

2017* 

2018 

2019 

Target 2020 

0 

0 

Actual results 
0 

0 

* No calls for proposals for action grants and operating grants planned, only procurement. 

Expenditure related outputs 

Outputs 

Analytical activities (e.g. studies, evaluations, collection of data and statistics, etc.) 
Mutual learning, cooperation, awareness-raising and dissemination 
Total 

Budget line 

33 02 01 
33 02 01 

Draft Budget 2019 

Number 
4 
0 
4 

EUR million 
1,1 
0 
1,1 

Outputs 

Analytical  activities  (e.g.  studies,  evaluations, 
collection of data and statistics, etc.) 
Mutual learning,  cooperation,  awareness-raising 
and dissemination 

F 
P 
F 
P 

2014 
9 
0 
9 
0 

Number of outputs foreseen (F) and produced (P) 
2017 
8 
6 
4 
4 

2016 
6 
0 
0 
0 

2018 
4 

2015 
9 
2 
9 
6 

0 

0 

2019 
4 

2020 
6 

5 

5. Programme contribution to the Sustainable Development Goals 

The REC Programme supports in many ways the gender equality and gender mainstreaming thereby contributing to the SDG 5 as 
well  as  the  implementation  of  gender  mainstreaming  throughout  all  goals.  Under  its  specific  objective  'To  promote  equality 
between women and men and to advance gender mainstreaming' every year calls for action grants are launched to support Member 
States'  activities  to  improve  gender  equality  in  national  policies  and  programmes  (2014),  to  support  projects  to  promote  good 
practices  on  gender  roles  and  to  overcome  gender  stereotypes  in  education,  training  and  in  the  workplace  (2015),  to  address 
violence against women (2016) and to fight against gender gaps (2017).. Operating grants are provided to EQUINET, a network of 
national  equality  bodies  and  to  the  European  Women's  Lobby.  Furthermore,  the  Programme  funds  projects  under  its  specific 
objective 'Daphne – to prevent and combat all forms of violence against children, young people and women, as well as violence 
against other groups at risk, in particular groups at risk of violence in close relationships, and to protect victims of such violence'.   

In all calls for proposals under the REC Programme the projects shall seek to promote equality between women and men. When 
planning  the  project,  the  applicants  should  demonstrate  in  their  proposal  how  this  will  be  respected  at  implementation  stage. 
Beneficiaries are required to detail in their final activity report the steps and achievements they made.  

By promoting the rights of the child under its specific objective the Programme contributes also to the SDG 4 and SGD 16.2. 

Under its specific objective "promoting and protecting the rights of persons with disabilities", the REC programme also contributes 
to  achieve  disability-inclusive  SDGs.  The  REC  programme  provides  every  year  operating  grants  to  major  EU-level  networks  of 
disability  organisations,  such  as  the  European  Disability  Forum,  whose  priorities  include  supporting  the  achievement  of  the 
Sustainable  Developments  Goals.  These  networks  implement  a  wide  range  of  activities,  from  awareness  raising  campaigns  to 
building  capacity  to  fight  discrimination,  supporting  the  development  of  equality  policies  or  collecting  data.  The  networks  also 
provide support in the area of accessibility and the development of disability indicators which address several of the SDGs goals. 
Moreover,  the  yearly  Access  City  Award,  a  prize  recognising  leading  European  cities  in  terms  of  urban  accessibility,  promotes 
accessible  cities  in  all  their  social,  economic  and  political  dimensions  (SDG  11).  As  to  the  European  Disability  Card  project,  it 
ensures equal access for travellers with disabilities to a number of benefits in the areas of culture, leisure, sport and transport, thus 

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contributing to the inclusion of people with disabilities in society (SDG 10). The European network of academic experts in the field 
of disability provides essential data, analysis and monitoring on the situation of people with disabilities related to, among others, 
employment, education and poverty risk (SDG 17). The Work Forum on the implementation of the United Nations Convention on 
the  Rights  of  Persons  with  Disabilities  (UNCRPD)  discusses  issues  and  addresses  the  challenges  encountered  to  implement  the 
SDGs  in  a  disability-inclusive  way.  Finally,  trainings  on  the  UNCRPD  help  providing  knowledge  for  a  disability-inclusive 
implementation of the SDGs. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme – not applicable 

7. Programme related additional information 

Common indicators to the Programme 

Indicator 1: the number and percentage of persons in a target group reached by the awareness-raising activities funded by the Programme 

Baseline 

0 
(01.01.2014) 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

10 032 725* 

6 517 090* 

Actual results 
NA 

?NA* 

*Data not available anymore as the participant portal was changed and the new one does not provide this kind of data.  

Indicator 2: the number of stakeholders participating in, inter alia, training activities, exchanges, study visits, workshops and seminars funded 
by the Programme 

Baseline 

0 
(01.01.2014) 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

78 595* 

114 230* 

Actual results 
NA 

NA* 

*Data not available anymore as the participant portal was changed and the new one does not provide this kind of data.  

Indicator  3:  the  improvement  in  the  level  of  knowledge  of  Union  law  and  policies  and,  where  applicable,  of  rights,  values  and  principles 
underpinning the Union, in the groups participating in activities funded by the Programme compared to with the entire target group 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 

No possibility to measure this indicator 

Indicator 4: the number of cases, activities and outputs of cross-border cooperation 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results 

No possibility to measure this indicator 

Indicator 5: participants' assessment of the activities in which they participated and of their (expected) sustainability 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

No possibility to measure this indicator 

Indicator 6: the geographical coverage of the activities funded by the Programme 

Actual results 

Baseline 

0 % 
(01.01.2014) 

2014 

2015 

2016 

2017 
100 %  

2018 

2019 

Milestones foreseen 

90 % of the 
participating 
countries 

93% of the 
participating 
countries 

Actual results 

96% 

NA yet 

Target 2020 

100 % of the 
participating 
countries 

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HEADING 3: Security and citizenship 

Europe for Citizens 
Lead DG: HOME 
Associated DGs: SG 

I. Programme Overview 

What the programme is about ? 

The aim of Europe for Citizens is to contribute to citizens' understanding of the EU, its history and diversity, and to foster European 
citizenship and improve conditions for civic and democratic participation at EU level. The financed projects will: 

•  Raise awareness of remembrance, the common history and values of the EU and the EU's aim - namely to promote peace, the 

values of the EU and the well-being of its peoples. 

•  Encourage the democratic and civic participation of citizens at EU level, by developing their understanding of the EU policy 

making-process, and stimulate interest and involvement in EU policy making. 

EU added value of the programme 

The Union added value of the proposed "Europe for Citizens" Programme can be demonstrated at the level of the individual actions 
of the new Programme: 

In  the  case  of  "European  remembrance"  (strand  1),  the  programme  supports  activities  that  encourage  reflection  on  European 
cultural diversity and on common values in the broadest sense. Funds may be made available for initiatives to reflect on the causes 
of totalitarian regimes in Europe's modern history and to commemorate the victims of their crimes. This strand also encompasses 
activities concerning other defining moments and reference points in recent European history. In particular, it gives preference to 
actions which encourage tolerance, mutual understanding, intercultural dialogue and reconciliation as a means  of moving beyond 
the past and building the future, in particular with a view to reaching the younger generation. 

In the case of "Democratic engagement and civic participation" (strand 2), the programme supports activities that  cover civic 
participation in the broadest sense, and focuses in particular on structuring methods to ensure that funded activities have a lasting 
effect. It gives preference to initiatives and projects with a link to the Union political agenda. This strand may also cover projects 
and  initiatives  that  develop  opportunities  for  mutual  understanding,  intercultural  dialogue,  solidarity,  societal  engagement  and 
volunteering at Union level. The aim is to increase the democratic participation of young people and the participation of women in 
political and economic decision-making. 

In  the  case  of  "Valorisation",  this  covers  horizontal  dimension  of  the  programme  as  a  whole.  It  focuses  on  the  analysis, 
dissemination,  communication  and  valorisation  of  the  project  results  from  the  above-mentioned  two  strands.  Common  tools  are 
needed to collect best practices and ideas about how to strengthen remembrance, European citizenship and civic participation  and 
facilitate the transnational exchange. 

The programme demonstrates a clear European added value as all activities funded under Europe for Citizens have either a cross-
border dimension, involving citizens and organisations from several participating countries, or are related to the European Union 
itself.  Activities  such  as  remembrance  activities,  town-twinning  or  pan-European  networks  are  intended  to  broaden  perspectives 
and to develop a sense of European belonging and European identity. The programme also provides European added value in the 
aggregate effect of its impact on participants and its complementarity with other EU initiatives. The positive impacts achieved by 
the  Europe  for  Citizens  programme  would  not  be  attained  without  EU  funding  as  no  similar  funding  schemes  are  available  at 
national, regional or local level. 

As regards the European Citizens' Initiative (ECI), it aims to increase the contribution of the European citizens to the development 
of  EU  policies,  by  calling  on  the  European  Commission  to  submit  proposals  for  legal  acts  of  the  Union  for  the  purpose  of 
implementing the Treaties, so fostering democratic participation. The objective is to emphasize the European (and transnational) 
dimension of the ECI; i.e. initiatives are prepared by committees of seven EU citizens residing in seven different Member States; a 
need has been identified to increase awareness across the Union about the ECI as a tool for participatory democracy at EU level and 
also to influence EU agenda setting; the support provided also enables citizens in all Member States to support initiatives through 
common online collection systems; etc. 

II. Programme Update 

Implementation Status (2014-2017)  

The  Europe  for  Citizens  Programme  is  implemented  through  the  two  strands  "European  remembrance"  and  "Democratic 
engagement  and  civic  participation",  which  offer  co-funding  for  European  remembrance  projects,  town-twinning  activities, 
networks of towns and civil society projects. The two strands are complemented by horizontal actions for dissemination and use of 
project results.  

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The  programme  is  implemented  through  action  grants  and  operating  grants  granted  to  European  civil  society  organisations  and 
think tanks active in the thematic areas targeted by the programme. 

In 2017, all actions were implemented in accordance with the Commission implementing decision of 05.12.2016 on the adoption of 
the  2017  work  programme  and  the  financing  for  the  implementation  of  the  Europe  for  Citizens  programme  work  programme 
(C(2016)7794).  In  2017,  out  of  1  942  applications  received,  412  projects  were  selected.  The  Programme  was  implemented  all 
together in 33 eligible participating countries.  

Following a transfer of appropriations in 2017 to the specific budget line dedicated to the European Citizens' Initiative (18 04 01 
02) the Programme appropriations have been also used to improve the implementation of the ECI Regulation368 (covering IT 
developments and studies).  

Key achievements  

The Europe  for Citizens  programme plays a positive overall role in encouraging civic participation and democratic  engagement, 
while strengthening the sense of belonging together and supporting mutual understanding and identification with Europe, thereby 
helping to support the European integration process in the longer term. By working directly with citizens, the programme offers a 
forum  for  involving  European  citizens  through  a  grassroots  approach.  In  the  area  of  European  remembrance,  the  Europe  for 
Citizens  programme  adds  value  to  the  debates  by  encouraging  exchange  beyond  national  boundaries  and  promoting  a  European 
vision of history. Europe for Citizens offers a new approach through the development of activities linking remembrance with civic 
participation and democracy.   

In  2017,  the  Programme  was  implemented  all  together  in  33  eligible  participating  countries:  28  Member  States  and  5  other 
participating countries, i.e.  Albania, Bosnia-Herzegovina,  Montenegro, Serbia and the  Former Yugoslav Republic of Macedonia. 
Out of 1 942 applications received, 412 projects were selected, and around 1 100 000 participants were expected to be involved in 
the activities of the programme. 

Project examples 

“Bagages à main" – One example of a town twinning project. The project gathered in Italy in October 2017 22 partners from 10 
different  countries  in  order  to  debate  around  two  of  the  annual  priorities  of  the  Europe  for  Citizens  Programme:  promoting 
solidarity in times of crisis and combatting the stigmatisation of migrants and minority groups. The main aim of the project  was to 
shed light on the refugee crisis, to reduce political, institutional, moral or ethical gaps between different countries in Europe and to 
provide the local communities with tools for a successful integration of migrants. The project reached its purpose through debates, 
workshops and an exhibition  – in which more than 200 people with different backgrounds took part. The debates and workshops 
covered the following topics: history and future of the EU, inclusive and participatory democracy, reasons why migrants leave their 
countries,  different  types  and  means  of  migration,  portraitisation  of  migrants  in  the  media.  By  presenting  22  video-
testimonials/interviews with migrants living currently in Italy and by organising an exhibition where migrants shared their stories 
and journeys, the project promoted a strong message of tolerance. 

"1968-2018 Do it yourself – Create your own society" – One example of a remembrance project. The multimedia project aims to 
commemorate the revolts of ’68 and foster the participants’ sense of ownership for how the EU develops and the values it is built 
on.  Which  values  are  European  citizens  willing  to  stand  up  for?  Do  old  methods  like  street  protests  or  newer  ones  like  ‘online 
activism’ suffice? 

With the travelling exhibition ‘Do It Yourself Pop-up Museum’ the history of ’68 has been shown by telling the personal stories of 
EU citizens who were an example of civic participation then and now: abstract concepts like ‘democratic values’ and 'history' were 
turned into something concrete to which people can relate to. The interactive ‘value game’ in which visitors had to choose between 
seemingly  opposing  values,  stimulated  citizens  to  actively  reflect  on  citizenship  and  participation.  Together  with  the  debates, 
workshops and the online website "Stichting Autres Directions" provided a platform for social and intercultural interaction between 
EU citizens to reflect on social mobilisation. 

Evaluation / Studies conducted 

The  mid-term  evaluation  of  the  Europe  for  Citizens  programme  2014-2020  was  launched  in  2016  and  a  public  consultation  in 
January  2017  in  order  to  gather  the  general  public’s  opinion  mainly  on  the  results  and  impacts  of  the  Europe  for  Citizens 
programme between 2014 and 2016. The Commission will present the results of the mid-term evaluation in a report to be submitted 
to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions in early 
2018.  The  mid-term  evaluation  confirms  the  programme’s  use  in  promoting  civic  participation,  strengthening  the  sense  of 
belonging together and supporting mutual understanding. The programme’s structure, with two strands and a cross-cutting measure 
on  valorisation  has  proved  to  work  efficiently  and  both  operating  and  action  grants  have  helped  deliver  the  desired  outcomes. 
Europe for Citizens has demonstrated its added value at EU level both in its impact on participants and its role as a complement to 
other EU funding programmes and policy initiatives in the field of education, culture and EU citizenship. 

A challenge  for the years to come will be to  increase the programme's visibility, the revision of the  monitoring indicators and to 
strengthen synergies with other existing EU programmes. 

368 Regulation (EU) No 211/2011 of the European Parliament and of the Council of 16 February 2011 on the citizens' initiative (OJ L 65/1, 11.03.2011).   

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In the context of the European Citizens' Initiative, two studies  were carried out to assess the scope for simplifying personal data 
requirements for signatories and for streamlining the technical specifications for online collection systems. 

Forthcoming implementation (2018-2019)  

In accordance with the work programme 2018 adopted in August 2017 (C(2017)5385), the indicative budget 2018 for each action 
will be as follows: 
Strand 1 – European remembrance: EUR 4 928 582 including 44 project grants and the six framework partnership agreements; 
Strand 2 – Democratic engagement and civic participation: EUR 18 295 597 for 364 project grants and 31 framework partnership 
agreements; 
Strand 3 – Horizontal Action Valorisation: EUR 900 000 for 33 operating grants to National contact points. 

The European Citizens' Initiative 
In 2018 EUR 740 000 is available for the budget line dedicated to the European Citizens' Initiative (18 04 01 02) and will be used 
to further improve the implementation of the ECI Regulation.  In 2019, according to the proposal for a Regulation of the European 
Parliament and of the Council on the European Citizens' Initiative (COM(2017)482), EUR 1 085 000 should be available for the 
budget line dedicated to the European Citizens' Initiative (18 04 01 02). The work programmes 2019 for both budget lines (18 04 01 
01 and 18 04 01 02) will be elaborated during 2018. 

III. Programme key facts and performance framework 

1. Financial programming 

Council Regulation (EU) No 390/2014 of 14 April 2014 establishing the ‘Europe for Citizens’ 
programme for the period 2014-2020 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

185,5 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

0,2 
23,0 
2,2 
25,3 

0,2 
24,1 
2,2 
26,4 

0,2 
25,2 
2,2 
27,6 

0,2 
23,3 
2,1 
25,6 

0,4 
21,9 
2,0 
24,2 

2017 

0,2 
27,3 
2,3 
29,8 

0,2 
26,3 
2,2 
28,7 

2018 

Total 
Programme 
1,5 
171,0 
15,2 
187,7 

Voted appropriations 

CA 
26,441 

Impl. Rate 
99,63 % 

PA 
26,195 

Impl. Rate 
98,63 % 

CA 
27,555 

Impl. Rate 
30,44 % 

PA 
28,434 

Impl. Rate 
28,57 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations  originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

30,53 % 

97,99 % 

28,32 % 

98,99 % 

27,764 

26,928 

28,894 

26,814 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies - Not applicable  

4. Performance information 
General objectives 

General Objective 1: to contribute to citizens' understanding of the Union, its history and diversity, to foster European citizenship 
and to improve conditions for civic and democratic participation at Union level 
Indicator 1: Percentage of EU citizens feeling European 

Baseline 
2013 

59 % of EU citizens now 
feel European (EB80 – 
Autumn 2013) 

Specific objectives 

2014 

2015 

2016 

2017 
Stable at 59 % 

2018 

2019 

Milestones foreseen 

60 % (EB82 
Autumn 2014) 

64 % (EB84 
Autumn 2015) 

67 % (EB86 
Autumn 2016) 

70 % (EB88 
Autumn 2017) 

Actual results 

Target 2020 

Stable at 59 % 

Specific  Objective  1: to  raise  awareness  of  remembrance,  the  common  history  and  values  of  the  Union  and  the  Union's  aim, 
namely  to  promote  peace,  the  values  of  the  Union  and  the  well-being  of  its  peoples,  by  stimulating  debate,  reflection  and  the 
development of networks 
Indicator 1: the number of participants who are directly involved 

Baseline 

Milestones foreseen 

Target 2020 

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202 500 

Target 2020 

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2013 

Baseline based on 2013 
survey: 
100 000 

2014 
100 000 

2015 

2016 

2017 
100 000 

2018 

2019 

Actual results 

100 000 

100 000 

100 000 

100 000 

100 000 

Indicator 2: the number of persons indirectly reached by the Programme 

Baseline 
2013 

2014 

2015 

2016 

Milestones foreseen 

2018 

2019 

Target 2020 

Baseline based on 2013 
survey: 150 000 

165 000 

165 000 
Indicator 3: the number of projects 

2017 
20 % 
increase: 
180 000 

Actual results 

185 000 

190 000 

190 000 

Baseline 
2013 

31 

2014 
36 

36 

Milestones foreseen 

2015 

2016 

2017 
35 

2018 

2019 

33 

Actual results 
38 

39 

Indicator  4: the  quality  of  the  project  applications  and  the  degree  to  which  the  results  of  selected  projects  can  be  further  used, 
transferred 

Baseline 
2013 

2014 

2015 

lowest score obtained by a 
retained project: 80 

Number of events  

organised: 50 

80 
90 
Indicator 5: Percentage of first time applicants 

84,5 
84 

2014 

2015 

Baseline 
2013 

percentage of first-time 
applicants to the 
programme: 40 % 

Milestones foreseen 
2016 

2017 
Baseline*1,02:81,6 
Baseline*1,7: 85 

Actual results 

82,5 
95,5 

82,5 
120 

Milestones foreseen 
2016 

2017 
-5 %<40 %<+5 % 

Actual results 

2018 

2019 

Target 2020 

Baseline*1,02²: 83,2 
Baseline*1,9: 95 

2018 

2019 

Target 2020 

-5 %<40 %<+5 % 

43 % 

45 % 

50 % 

50 % 

Expenditure related outputs 

Outputs 

Structural support -Framework partnerships (4 years) 
Structural support – Framework partnerships (3 years) 
Remembrance projects 
Total 

Budget line 

18 04 01 
18 04 01 
18 04 01 

Draft Budget 2019 

Number 
0 
6 
44 

EUR million 
0 
1,3 
3,9 
5,2 

Outputs 

Structural  support  –  Framework  partnerships  (4 
years) 
Structural  support  –  Framework  partnerships  (3 
years) 
Remembrance projects 

2014 
8 
6 
0 
0 
65 
36 

2015 
6 
6 
0 
0 
42 
33 

F 
P 
F 
P 
F 
P 

2016 
6 
6 
0 
0 
45 
38 

2017 
6 
6 
0 
0 
44 
39 

2020 
0 

6 

50 

6 

44 

6 

47 

Number of outputs foreseen (F) and produced (P) 
2019 
0 

2018 
0 

Justification of changes to the financial programming and/or to the performance information 
The number of outputs produced in 2017 under budget line 18 04 01 01 are lower than the number of outputs foreseen due to: 

the higher average value of grant per project; 

 
  Projects are better structured with an enlarged partnership, involving a bigger number of participants and hence more 

 

citizens involved per project; 
the transfer of an amount of EUR 840 000 to the budget line 18 04 01 02 dedicated to the European Citizens' Initiative 
under the flexibility clause of the programme. 

The same justifications apply to the revision of outputs foreseen in the future. According to the proposal for a Regulation of the 
European Parliament and of the Council on the European Citizens' Initiative adopted on 13.09.2017 (COM(2017)482),  
EUR 1 085 000 should be transferred to ECI in 2019 and EUR 1 385 000 in 2020. 

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Specific  Objective  2: to  encourage  the  democratic  and  civic  participation  of  citizens  at  Union  level,  by  developing  citizens' 
understanding  of  the  Union  policy  making-process  and  promoting  opportunities  for  societal  and  intercultural  engagement  and 
volunteering at Union level 
Indicator 1: the number of participants who are directly involved 

Baseline 
2013 

Baseline based on 2013 
survey: 1 000 000 

Milestones foreseen 

2014 
1 000 000 

2015 

2016 

2017 
1 000 000 

2018 

2019 

1 000 000 

1 000 000 

1 000 000 

1 000 000 

Actual results 

Target 2020 

1 200 000 

Indicator 2: the number of persons indirectly reached by the Programme 

Baseline 
2013 

Baseline based on 2013 
survey: 1 000 000 

Milestones foreseen 

2014 

2015 

2016 

1 100 000 

1 150 000 

1 180 000 

2017 
20 % 
increase: 
1 200 000 

1 100 000 

1 100 000 

1 100 000 

1 200 000 

Actual results 

Indicator 3: the number of participating organisations 

2018 

2019 

Target 2020 

1 250 000 

1 300 000 

35 % increase: 
1 350 000 

Baseline 
2013 

1 000 

2014 

1 100 

2015 

1 300 

Milestones foreseen 

2016 

1 350 

2017 
Baseline*1,4:  
 1 400 

2018 

1 500 

Actual results 

2019 

1 600 

Target 2020 

Baseline*1,7:  
1 700 

2 100 
Indicator 4: the perception of the Union and its institutions by the beneficiaries 

1 100 

1 550 

1 300 

Baseline 
2012 

77 % feel more European 
as a result of their 
participation in the 
"Europe for Citizens" 
programme. 

2014 
77 % 

2015 

2016 

2017 
stable at 77 % 

Milestones foreseen 

Actual results 

60 % (EB82 
Autumn 2014) 

64 % (EB84 
Autumn 2015) 

67 % (EB86 
Autumn 2016) 

70 % (EB88 
Autumn 
2017) 

Indicator 5: the quality of project applications 

Baseline 
2013 

lowest score obtained by a 
retained project: 71 

2014 

2015 

2016 

Milestones foreseen 

2017 
Baseline*1,02: 
72,4 

74 

Actual results 
73 

71 

53 

53 

Indicator 6: the percentage of first time applicants 

2018 

2019 

Target 2020 

stable at 77 % 

2018 

2019 

Target 2020 

Baseline*1,02: 73,9 

Baseline 
2013 

percentage of first-time 
applicants to the 
programme 40 % 

2014 
40 % 

2015 

Milestones foreseen 
2016 

2017 
-5 %<40 %<+5 % 

Actual results 

2018 

2019 

Target 2020 

-5 %<40 %<+5 % 

44 % 
Indicator 7: the number of transnational partnerships including different types of stakeholders 

40 % 

53 % 

53 % 

Baseline 
2013 

average number of types 
stakeholders: 1,3 

2014 

1,6 

Milestones foreseen 

2015 

2016 

2017 
At least 2 
types of 
stakeholders 

Indicator 8: the number of networks of twinned towns 

1,6 

1,8 

Actual results 
1,8 

2 

Milestones foreseen 

Baseline 
2013 

41 

2014 
35 

35 

2015 

2016 

2017 
35 

2018 

2019 

32 

Actual results 
30 

32 

At least 2 types of 
stakeholders 

Target 2020 

42 

2018 

2019 

Target 2020 

Indicator  9: the  number  and  quality  of  policy  initiatives  following-up  on  activities  supported  by  the  Programme  at  the  local  or 
European level 

Baseline 

Milestones foreseen 

Target 2020 

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2018 

2019 

2 

2018 

2019 

Target 2020 

25 

25 

28 

2014 
0 

2015 

0 

0 

0 

Indicator 10: the geographical coverage of the activities 

Baseline 
2013 

2014 

2015 

16 
15 
20 
17 

number of Member States with 
appropriate national coverage 
(NC)*: 
- submitting as a lead partner: 13 
- selected as a lead partner: 12 
- submitting as a lead partner 
orco-partner: 18 
- selected as a lead partner or co-
partner: 15 

2016 

2017 
2 
Actual results 
2 

2016 

Milestones foreseen 
2017 
25 
13 
26 
26 
26 
Actual results 
25 
28 
27 
28 
28 

25 
27 
27 
28 
28 
*Geographical coverage at EU level = number of Member States for which 90 % < NC < 110 %; NC= National coverage = % of projects 
submitted (or selected) per member State as a lead partner (or co-partner) / % of its population in the total population of the EU. 
Expenditure related outputs 

23 
28 
27 
28 
28 

28 

28 

Draft Budget 2019 

Outputs 

Citizens’ meetings 
Networks TT 
Civil society projects 
Structural support – Framework partnerships (4 years) 
Structural support – Framework partenerships (3 years) 
Peer reviews 
Studies and communication services 
Studies and communication activities (including IT development for the ECI) 
Support structures in the Members states 
Total 

Budget line 

18 04 01 01 
18 04 01 01 
18 04 01 01 
18 04 01 01 
18 04 01 01 
18 04 01 01 
18 04 01 01 
18 04 01 02 
18 04 01 01 

Number 
277 
35 
28 
0 
24 
1 
0 
2 
34 

Outputs 

Citizens' meetings 

Networks TT 

Civil society projects 

Structural support –Framework partnerships (4 
years) 
Structural support – Framework partnerships (3 
years) 
Peer reviews 

Studies and communication services 

Studies and communication activities (including 
IT development for the ECI) 
Support structures in the Members States 

2014 
430 
252 
103 
35 
39 
29 
26 
29 
0 
0 
2 
2 
0 
1 

33 
25 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

2019 
277 

31 

38 

2015 
312 
252 
43 
32 
33 
27 
29 
31 
0 
0 
2 
0 
0 
0 

2018 
295 

Number of outputs foreseen (F) and produced (P) 
2017 
276 
248 
35 
32 
28 
27 
29 
30 
0 
0 
0 
0 
0 
0 
2 
2 
33 
30 

2016 
338 
237 
46 
30 
36 
25 
29 
30 
0 
0 
2 
0 
0 
0 
0 
0 
33 
29 

33 
27 

24 

33 

0 

1 

0 

1 

35 

28 

0 

24 

1 

0 

1 

34 

EUR million 
4,9 
4,7 
3,8 
0 
5,5 
0,2 
0 
1,09 
0,9 
21,09 

2020 
296 

36 

29 

0 

24 

1 

0 

34 

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HEADING 3: Security and citizenship 

Union Civil Protection Mechanism - Heading 3 
Lead DG: ECHO 
Associated DGs: EAC 

I. Programme Overview 

What the programme is about ? 

The aim of the Union Civil Protection Mechanism is to support, coordinate and supplement the actions of the Member States in the 
field  of  civil  protection  with  a  view  to  improving  the  effectiveness  of  systems  for  preventing,  preparing  for  and  responding  to 
natural  and  man-made  disasters.  UCPM  focuses  on  reducing  loss  of  human  life,  environmental,  economic  and  material  damage 
caused  by  disasters  through  a  comprehensive  approach  covering  disaster  prevention,  preparedness  and  response;  improving  the 
understanding  in  Member  States  of  disaster  risks  through  cooperation  on  risk  assessment  and  planning,  and  the  gradual 
development of a European culture of disaster prevention; as well as on improving the preparedness for disasters through training, 
exercises, exchange of best practices and similar activities. UCPM Heading 3 funds projects where the primary beneficiaries are the 
Participating  States  of  the  UCPM  (the  34  Participating  States  to  the  Union  Civil  Protection  Mechanism  include  the  28  EU  MS, 
Iceland, Norway, the former Yugoslav Republic of Macedonia, Montenegro and Serbia, and Turkey). In contrast, funds from the 
external budget item are granted to projects in which the primary beneficiaries are European Neighbourhood Policy countries and 
IPA II beneficiary countries, not yet participating in the UCPM. 

EU added value of the programme 

Based on the new Treaty Article 196 for civil protection policy, the aim of the Mechanism is to support, coordinate and supplement 
the  actions  of  the  Member  States  in  the  field  of  civil  protection  with  a  view  to  improving  the  effectiveness  of  systems  for 
preventing, preparing for and responding to natural and man-made disasters. 

The EU's added value comes in the form of: 

  Reduction  of  loss  of  human  life,  environmental,  economic  and  material  damage  caused  by  disasters  through  a 

 

 
 
 

comprehensive approach covering disaster prevention, preparedness and response; 
Improved understanding in Member States of disaster risks through cooperation on risk assessment and planning, and the 
gradual development of a European culture of disaster prevention; 
Improved preparedness for disasters through training, exercises, exchange of best practices and similar activities; 
Improved coordination of the response to disaster by bringing together and facilitating Member States' offers of assistance; 
Increased  cost-effectiveness  through  the  pooling  of  assistance,  the  sharing  of  transport  capacities,  the  identification  of 
complementarities and the avoidance of duplication; 

  More coherent, predictable and visible response to disasters through the set-up of a European Response Capacity ready to 

help everywhere in the EU and in third countries when needed. 

II. Programme Update 

Implementation Status (2014-2017) 

The  activities  in  the  area  of  civil  protection  were  implemented  as  planned  in  the  UCPM  legislation  and  the  Commission 
Implementing Decision in all areas: disaster prevention, preparedness and response. New activities like the voluntary pool and the 
European Medical Corps (EMC) progressed as expected with more assets registered in the pool (16 modules registered so far) and 
in the EMC (several MS committed their medical assets). Certifications have started in 2016. Other activities like prevention and 
preparedness projects, exercises or the training programme for Member States' experts were implemented successfully. 

Key achievements  

-  European  Emergency  Response  Capacity  in  the  form  of  a  voluntary  pool:  The  voluntary  pool  of  Member  States'  response 
capacities brings together a range of civil protection modules, other response capacities, and experts, which Member States keep on 
standby  for  EU  civil  protection  missions  all  over  the  world.  The  teams  need  to  meet  minimum  quality  criteria  and  undergo  a 
certification process to ensure quality and interoperability. Trained and certified modules, response capacities and experts guarantee 
an effective response to disasters inside and outside the EU. The voluntary pool also enables a shorter deployment time. Capacities 
from the voluntary pool were mobilised in all major emergencies including ones needing specialised assets (e.g. during the Ebola 
crisis a medical evacuation aerial capacities for Ebola patients and mobile laboratories were provided). 

Following  the  successful  implementation  of  the  'Buffer-IT'  project  of  2016  to  reinforce  Member  State  aerial  capacities  to  fight 
forest  fires,  two  aerial  forest  fire  fighting  capacities  (buffer  capacities)  were  co-financed    for  the  2017  forest  fire  season.  These 
buffer capacities were included as part of the voluntary pool and actively used for EU Civil Protection Mechanism deployments. 
The  buffer  capacity  based  in  Italy  was  composed  of  two  heavy  amphibious  planes  and  the  one  based  in  Spain  consisted  of  two 
medium amphibious planes. In 2017, these buffer capacities were deployed four times in Europe for a total of 230 flight hours and 
773 firefighting drops. 

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 -  European  Medical  Corps:  the  European  Medical  Corps,  officially  launched  in  February  2016,  is  the  new  framework  for 
mobilising  medical  and  public  health  experts  and  teams  for  preparedness  or  response  operations  inside  or  outside  the  EU.  9 
Member States have committed medical teams, mobile laboratories, and logistical support teams so far. Two teams were already 
mobilised during the Ebola outbreak in the Western  Africa  and the evacuation capacities  were  used  for the transport of affected 
persons to Europe. The teams and equipment from the Member States can be rapidly deployed in response to emergencies inside 
and outside the EU, in case of infectious diseases. The medical teams are also part of the voluntary pool.  

- Peer review process inside the EU and in eligible third countries: after two pilot peer reviews in 2013 and 2014, a peer review 
programme was launched in 2015-2016, covering six peer reviews, of which two outside and four inside the EU to assess capacities 
of responsible authorities in prevention, preparedness and response to disasters, with the participation of peer experts from several 
Member States. Peer review reports with recommendations were published in order to improve national civil protection structures 
and foster the sharing of experience.  

- Provision of assistance to EU countries affected by the forest fires, oil spill, and consular support actions in 2017, the Mechanism 
facilitated the provision of assistance to EU affected countries / EU citizens (France, Greece, Germany, Italy, the Netherlands, and 
Portugal).  
In 2017, the Union Civil Protection Mechanism was activated in response to 32 emergencies in total. 

Evaluations/Studies conducted 

The mid-term evaluation of the current UCPM legislation was completed and followed by a Commission report to the Parliament 
and the Council 369 as foreseen in Article 34 of Decision No 1313/2013/EU.  It took into account the result of the external study370 
conducted  and  other  performance  assessments  such  as  the  'European  Court  of  Auditors  review  of  the  UCPM371,  and  the 
Commission report on progress made and gaps remaining in the European Emergency Response Capacity372. 

The evaluation assessed the effectiveness, efficiency, relevance, coherence, EU added value and sustainability of the UCPM and 
provided  recommendations  on  how  the  implementation  of  the  Decision  could  be  improved.  The  evaluation  underlined  that  the 
Mechanism has clear EU added value for Participating States under all three thematic pillars  – disaster prevention, preparedness 
and response.  

In the area of response, EU added value was most evident in the comprehensive overview of capacities available at the EU level 
and the possibility to request coordinated EU wide response through a single platform. The Union Mechanism has proven to be a 
useful tool to mobilise and coordinate the assistance provided by the Participating States responding to crises inside and outside the 
Union, constituting a tangible proof of European solidarity. There has been a positive change from ad hoc coordination system to a 
more predictable, pre-planned and coherent organisation of EU disaster response. 

The addition of new capacities via the European Emergency Response Capacity (Voluntary Pool) has enhanced the overall disaster 
preparedness  at  EU  level  and  allowed  for  immediate  deployable  response  resources  bringing  together  a  range  of  relief  teams, 
experts  and  equipment  from  Participating  States.  The  UCPM  is  contributing  to  higher  quality  standards  for  response  capacities 
across Europe. The UCPM is effective in responding to disasters inside and outside the EU, benefitting from the interlinked UCPM 
activities.  Activities  implemented  under  the  preparedness  pillar  have  a  positive  impact  on  those  activities  in  the  response  pillar.  
Both  the  training  programme  and  the  exercises  were  effectively  coordinated  at  EU  level  and  are  perceived  positively  by  all 
stakeholders involved. 

The UCPM helped strengthen the preparedness of the civil protection sector both at EU and national level and the development of 
National Risk Assessments benefits the EU as a whole as it enables a better overview of risks and capacity gaps in the Union.  

Outside  of  the  EU,  the  UCPM  can  fill  important  emergency  gaps  in  cases  where  it  is  not  possible  to  fully  deploy  humanitarian 
assistance  and/  or  where  specific  technical  expertise  and/or  assets  are  needed.  In  addition,  the  assessments  carried  out  by  civil 
protection experts deployed by UCPM can usefully feed into wider disaster recovery frameworks. 

Key challenges remain in establishing capacity needs and setting appropriate capacity targets and further development of quality 
standards and better linking prevention with preparedness and response activities.  

Knowledge-sharing  and  training  activities  are  critical  to  creating  a  community  of  European  civil  protection  practitioners  and, 
ultimately,  to  ensuring  sustainability  of  the  UCPM's  results  cementing  the  risk  management  governance  all  along  the  European-
national-regional-local chain.  

The  UCPM  is  to  find  the  right  balance  between  being  a  framework  of  mutual  assistance  between  European  countries  in  the 
aftermath of natural and  man-made disasters and evolving  towards a  more complex instrument capable of addressing  crises of  a 
multiple nature and with a global reach. 

369 Commission staff Working Document  SWD(2017) 287 final of 30.8.2017  'Interim Evaluation of the Union Civil Protection Mechanism (2014-2016) 
accompanying the Report from the Commission to the European Parliament and the Council on the Interim Evaluation of the Union Civil Protection Mechanism for 
the period 2014- 2016 (COM(2017) 460 final). 
370 ICF, 'Interim Evaluation of the Union Civil Protection Mechanism. 2014-2016', Final Report, August 2017 https://publications.europa.eu/en/publication-detail/-
/publication/eb41bfee-78c3-11e7-b2f2-01aa75ed71a1/language-en/format-PDF 
371 European Court of Auditors, Special Report (2016), Union Civil Protection Mechanism: the coordination of responses to disasters outside the EU has been 
broadly effective : http://www.eca.europa.eu/Lists/ECADocuments/SR16_33/SR_DISASTER_RESPONSE_EN.pdf  
372 Report from the Commission to the European Parliament and the Council on progress made and gaps remaining in the European Emergency Response Capacity,   
 COM(2017) 78 final of 17.02.2017 

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Better  articulating  the  linkages  between  the  UCPM  prevention  (and  preparedness)  projects  and  broader  EU  programmes  (e.g. 
Cohesion/European  Regional  Development  Fund)  are  encouraged  to  help  maximise  the  uptake  of  projects  results  and  leverage 
additional technical and financial resources. 

Forthcoming implementation (2018-2019)  

In  2017,  the  Commission  adopted  a  proposal  to  strengthen  the  UCPM,  through  inter  alia  the  establishment  of  a  European  Civil 
Protection  Capacity–  rescEU373,  in  order  to  ensure  that  the  Union  can  provide  better  crisis  and  emergency  support  to  European 
citizens  with  maximum  efficiency.  Building  on  the  strengths  of  the  UCPM,  the  above  mentioned  proposal  aims  to  reinforce  the 
provisions of the current framework to enhance the collective capacity of Member States to respond to disasters. 

The changes proposed as amendments of the UCPM have the following objectives:  

a) Reinforce the EU's and Member States’ collective ability to respond to disasters, and address recurrent and emerging 
capacity gaps;  
b) Strengthen the focus on prevention actions;  
c) Ensure the Union's Civil Protection Mechanism is agile and effective in its administrative procedures. 

Negotiations are currently undergoing regarding the new proposal to strengthen the UCPM. In preparation of the adoption of the 
proposal, several preparatory actions have to be undertaken, namely regarding the area of prevention and assets development.   A 
market study on assets development is being conducted by an external consultant following a call for tender procedure. Additional 
activities and tasks need to be undertaken: Firstly, the actual establishment of rescEU response capacities which could be done via 
purchase,  rental,  or  leasing  agreements;  Secondly,  on  the  prevention  aspect,  Member  States  will  be  subject  to  new  reporting 
requirements which will be processed by the Commission; Thirdly, the establishment of the so-called 'Union Disaster Knowledge 
Network' would also require additional resources.  

In addition to the above, the voluntary pool registration will continue in 2018 in order to have a sufficient capacity on standby that 
can cover all possible types of disasters (estimated capacity of  115 modules available for deployment to be reached by 2020). An 
increasing number of registrations in the voluntary pool is expected, given the financial incentives proposed in the new "rescEU" 
legislation. The work on certification procedures and quality criteria of the modules is progressing along with modules exercises 
organised in 2017-2018 to test their quality. Work will also continue in other areas, like analyses of gaps in civil protection assets, 
early warning systems or deployment plans for civil protection modules.  

Furthermore, in 2018 and 2019, work will pursue to improve the knowledge base for disaster prevention, and strengthen Member 
States' risk management via national risk assessments and assessments of national risk management capabilities. Another priority 
will be the implementation of the voluntary peer reviews, organised as an essential element to improve the systems of Participating 
States for managing risks. An inter-service consultation group has been created with the participation of other General Directorates 
to  start  the  screening  of  prevention  plans  in  Member  States  and  contribute  to  define  and  implement  prevention  priorities  at  EU 
level. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 
2013 on a Union Civil Protection Mechanism 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

223,8 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Operational appropriations 
Total 
Of which contribution to European Solidarity Corps 

28,2 
28,2 

29,3 
29,3 

30,6 
30,6 

29,5 
29,5 

33,2 
33,2 
2,0 

149,6 
149,6 
2,0 

158,5 
158,5 
2,0 

Total 
Programme 
458,8 
458,8 
6,0 

2. Implementation rates 

Voted appropriations 

29,525 

97,40 % 

27,935 

79,58 % 

33,246 

8,80 % 

34,270 

21,15 % 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

79,34 % 

21,60 % 

96,36 % 

9,11 % 

32,344 

29,440 

38,609 

31,045 

373 Proposal for a Decision of the European Parliament and of the Council amending Decision No 1313/2013 on a Union Civil Protection Mechanism 
(COM(2017)772 final of 23.11.2017) 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 

Projects  and other activities related to climate change adaptation 

Relevant objective/output 

Budget 2018 
(EUR Million) 
8.76 

DB 2019 
(EUR Million) 
27.28 

The  figure  for  2017  and  2018  linked  to  the  climate  action  represents  around  20%  of  the  total  budget  for  prevention  and 
preparedness inside the Union including following activities: prevention projects, studies related to prevention actions, peer review 
programme, and the exchange of experts programme related to prevention. This methodology follows the one applied since 2014. 

2014 
6,9 

2014 – 2016 
2015 
6,11 

2017-2018 estimates 

2016 
6,87 

2017 
5,93 

2018 
8.76 

2019-2020 programming 
2020 
2019 
28.2 
27.28 

Total 
2014-2020 
70.17 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

4. Performance information 
General objectives 

General Objective 1: The Union Civil Protection Mechanism shall aim to strengthen the cooperation between the Union and the 
Member  States  and  to  facilitate  coordination  in  the  field  of  civil  protection  in  order  to  improve  the  effectiveness  of  systems  for 
preventing, preparing for and responding to natural and man-made disasters. 
Indicator 1: Economic damage caused by natural disasters (Source: As recorded in the EM-DAT database) 

Baseline 
Annual average 2010-2012 

2014 

Milestones foreseen 

2016 

2015 
Annual average 2014 – 2019* - USD 13 billion 
Actual results 

2017 

2018 

2019 

Target 2020 

USD 13 billion 

USD 16 billion 

USD 4 billion 

USD 4.74 
billion 

USD 1,15 
billion 

USD 2, 8 
billion 

* Estimate based on the average of annual economic damage of the past 10 years 
A very important part of the result of this indicator depends on external factors (occurrence of disasters and their severity) that  are not under the 
Commission's  control.  Nevertheless,  ECHO's  impact  will  be  reviewed  in  2016  during  the  interim  evaluation  of  the  Union  Civil  Protection 
Mechanism. Following 2015 adoption of the Sendai Framework for Disaster Risk Reduction - including a target on reducing economic loss from 
disasters in relation to Global GDP – the above mentioned target will be revised to be in line with the Sendai methodology and indicators linked to 
agreed targets. 

Specific objectives 

Specific Objective 1: To achieve a high level of protection against disasters by preventing or reducing their effects by fostering a 
culture of prevention and by improving cooperation between the civil protection and other relevant services. 
Indicator 1: Number of Member States that have made available to the Commission a summary of their risk assessments. (Source: 
Annual report for the EP on the implementation of the new union Civil Protection Mechanism Decision) 

Baseline 
2013 

14 

2014 

2015 

17 

27 

Milestones foreseen 

2016 
27 
Actual results 
28 

2017 
28 

28 

2018 
28 

2019 
28 

Target 2020 

28 

Indicator  2: Number of Member States that have  made available to the  Commission an assessment of their risk  management as 
referred to in Article 6 of the Decision. 

Baseline 
2013 

0 

2014 
0 

0 

2015 
0 

0 

Milestones foreseen 

2016 
0 
Actual results 
0 

2017 
0 

0 

Obligation to report from 2018 onwards 
Indicator 3: Number of projects financed for prevention within the Union 

Baseline 
2013 

7 

2014 
10 

15 

2015 
10 

10 

Milestones foreseen 

2016 
12 
Actual results 
10 

2017 
10 

5 

2018 
28 

2019 
28 

2018 
10 

2019 
11 

Target 2020 

28 

Target 2020 

11 

The level of co-financing was increased from 500 000 EUR to 800 000 in 2015. This explains the decrease in number of prevention projects since 
2015 and the adjustment in the milestones and 2020 target. as compared to the data presented in 2017 Programme Statement. 

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Expenditure related outputs 

Outputs 

Grant agreements 
Number of contracts 
Total 

Outputs 

Grant agreements 

Number of contracts 

2014 
10 
15 
2 
2 

F 
P 
F 
P 

Budget line 

23 03 01 01 
23 03 01 01 

Draft Budget 2019 

Number 
15 
5 
20 

EUR million 
3 
0.5 
3.5 

Number of outputs foreseen (F) and produced (P) 
2017 
11 
6 
6 
2 

2016 
11 
10 
6 
2 

2018 
15 

2015 
10 
10 
3 
3 

5 

5 

2019 
15 

2020 
15 

5 

Justification of changes to the financial programming and/or to the performance information 

In  2016  and  2017,  the  number  of  selected  projects  was  slightly  lower  than  planned,  taking  into  account  the  available  budget 
resources transferred from other activities and respecting the results of the evaluation process. 

The  proposal  adopted  by  the  Commission  (which  incorporates  the  rescEU  initiative)  puts  a  greater  emphasis  on  the  prevention 
component  of  the  Mechanism,  as  well  as  on  research  and  development.  Consequently,  additional  funds  are  foreseen  to  further 
support the funding of projects destined to improve the prevention practices and methods of Member States. 

Specific Objective 2: To enhance preparedness at Member State and Union level to respond to disasters. 
Indicator 1: Number of response capacities included in the voluntary pool in relation to the capacity goals 

Baseline 
2013 

0 

2014 

2015 

3 

16 

Milestones foreseen 

2016 
≥ 15 
Actual results 
56 

2017 

92 

2018 
≥ 50 

2019 

Target 2020 

≥ 60 

The registration of assets, modules and other response capacities to the voluntary pool in CECIS is dependent on Member States. In particular, the 
voluntary pool of assets is a new element established by the Civil Protection legislation adopted in 2014. The 2016 increase  in the registration 
numbers can be explained by the following incentives implemented in the same year: assets registered in the pool are eligible for a higher level of 
co-financing of transport costs in case of deployment, 85 % of eligible costs can be covered for registered assets versus 55 % for non-registered 
assets, and adaptation grants for an upgrade of a registered capacity. Certain assets are registered in the pool for a fixed number of  years after 
which the registration might not be renewed. The 2018 milestone and 2020 target have been modified following the 2016 results.   
Indicator  2: Number  of  standard  response  units  (modules)  registered  in  the  EU's  Common  Emergency  Communication  and 
Information  System  (CECIS)  (Source:  Annual  report  for  the  EP  on  the  implementation  of  the  new  union  Civil  Protection 
Mechanism Decision) 

Baseline 
2013 

150 

2014 
160 

160 

2015 

170 

Milestones foreseen 

2016 
≥ 160 

2017 

2018 
≥ 175 

2019 

Actual results 
172 

173 

Indicator 3: Number of projects financed for preparedness 

Baseline 
2011 

7 

2014 
10 

13 

2015 
10 

8 

Milestones foreseen 

2016 
12 
Actual results 
10 

2017 
10 

6 

2018 
10 

2019 
11 

Target 2020 

≥180 

Target 2020 

11 

The level of co-financing was increased from 500 000 EUR to 800 000 in 2015. This explains the decrease in number of preparedness projects 
since 2015 and the adjustment in the milestones and 2020 target as compared to the data presented in 2017 PS.  

Expenditure related outputs  

Outputs 

Grant agreements and contracts (number of preparedness projects financed) 
Number of administrative arrangements 
Nnumber  of  grant  agreements    and  contracts    (Emergency  Response  Capacity  + 
rescEU) 
Total 

Budget line 

23 03 01 01 
23 03 01 01 

23 03 01 01 

*Draft Budget 2019 

Number 
50 
5 

13 

68 

EUR million 
5 
2.5 

13 

20.5 

Outputs 

Grant agreements and contracts 

F 
P 

2014 
24 
28 

Number of outputs foreseen (F) and produced (P) 
2017 
30 
37 

2016 
28 
39 

*2018 
30 

2015 
26 
36 

*2019 
50 

*2020 
50 

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Number of administrative arrangements 

Emergency response capacity, number of grant 
agreements  (rescEU) 
*2018-2020 figures have been reviewed to include RescEU 2018-2020. 

F 
P 
F 
P 

4 
4 

4 
4 

5 
2 

5 
2 

5 

7 

5 

13 

5 

20 

Justification of changes to the financial programming and/or to the performance information 

In 2016 and 2017, the actual number of administrative arrangements was lower than planned. Some of the previous arrangements 
with  the  JRC  were  extended  in  their  duration;  so  necessary  actions  were  still  covered  by  previous  arrangements.  The  new  and 
existing arrangements cover all planned activities.  

The new proposed legislation (which incorporates the rescEU initiative) puts a greater emphasis on the preparedness component of 
the Mechanism, as well as on research and development. Consequently, additional funds are foreseen to further support the funding 
of projects destined to improve the preparedness activities and methods of Member States. 

Specific Objective 3: To facilitate rapid and efficient response in the event of disasters or imminent disasters. 
Indicator  1: Average  speed  of  interventions  under  the  EU  Civil  Protection  Mechanism  (from  the  acceptance  of  the  offer  to 
deployment). (Source: Annual report for the EP on the implementation of the new union Civil Protection Mechanism Decision) 

Baseline 
2013 

≤ 36 hours 

2014 
≤ 24 hours 

2015 

2016 

2017 
≤ 18 hours 

2018 

2019 

Milestones foreseen 

22 

Actual results 
20 

20.7 

Target 2020 

≤ 12 hours 

Measured as the duration between the acceptance of the offer in CECIS and the time when the assistance is ready for transportation from the port 
of embarkation in the offering EU Member States for movement towards the affected Member State. The indicator covers modules, as well as for 
technical assistance and support teams and other response capacities corresponding to the categories defined for the European emergency response 
capacity  (EERC  –  Voluntary  pool)  as  defined  by  Commission  Decision  (2014/762/EU)  of  16  October  2014  laying  down  rules  for  the 
implementation of Decision No 1313/2013/EU of the European Parliament and of the Council on a Union Civil Protection Mechanism. Results of 
this indicator are partly influenced by the number, severity, nature and the specific context of the emergencies for which the UCPM is activated in 
a given year. 

Expenditure related outputs 

Outputs 

Number of contracts  
Grant agreement / service contract (operations inside the EU) 
Number of contracts (deployment of experts) 
Total 

Budget line 

23 03 02 01 
23 03 02 01 
23 03 02 01 

Number 
1 
20 
4 
25 

*Draft Budget 2019 

EUR million 
1 
8 
0.01 
9.01 

Outputs 

Number of contracts 

Grant agreement / service contract 

2014 
1 
1 
2 
5 

F 
P 
F 
P 
F 
P 

2015 
1 
1 
2 
6 

*2018 
1 

2016 
1 
1 
2 
6 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
2 
8 
4 
4 

10 

4 

20 

4 

*2019 
1 

*2020 
1 

20 

Number  of  contracts  (deployment  of  experts, 
new output) 
*2018-2020 figures have been reviewed to include  RescEU. Outputs for the 2018-2020 period are lower than those foreseen in the Legislative 
Financial Statement (keeping the same budgetary allocation foreseen in the LFS) because under the new legislation, the amount per grant is likely 
to be significantly higher, given that, in addition to the transport costs, operational costs are also eligible . 

4 

Justification of changes to the financial programming and/or to the performance information 
The increase in outputs (i.e. grant agreement/service  contracts) for the 2018-2020 period is based on the fact that  under the new 
proposed  legislation,  the  financial  incentives  to  commit  assets  to  the  European  Civil  Protection  Pool  are  significantly  higher 
namely, in addition to transport costs the UCPM budget can also cover the cost of operations up to 75%. Given the new incentives, 
Member States are expected to use the Mechanism more frequently. 

Specific Objective 4: To increase public awareness and preparedness for disasters. 
 Indicator 1: The level of awareness of Union citizens of the risks in their region. 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

55%* 

Actual results 
N/A 

N/A** 

Target 2020 

75% 

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* based on Eurobarometer survey 2015 conducted in 28 MS. Figure in response to the following question "To what extent are you aware or not of 
the risk of disaster in your region?" No Eurobarometer survey on the level of awareness of Union citizens of the risks in their region was carried 
out in 2016.  
**A Special Eurobarometer survey was conducted in 2017 throughout the EU28 Member States. Comparability of data between the 2015 and the 
2017 Eurobarometer surveys on this indicator is not possible since the Eurobarometer questions were not exactly the same. It is to be noted that 
the EU average response to the question "Are you aware or not that the EU helps to coordinate the response to disasters in the EU" was 55 %. 

Expenditure related outputs 

Outputs 

Number of civil protection projects contributing to increased public 
awareness and preparedness for disasters 
Contracts  contributing  to  increased  public  awareness  (including 
possible organisation of Eurobarometer survey 
Total 

Budget line 

23 03 01 01 

23 03 01 01 

*Draft Budget 2019 

Number 

EUR million 

15 

2 

17 

6 - 7 

0.2 

6.2 - 7.2 

Outputs 

2014 

2015 

Number of outputs foreseen (F) and produced (P) 
2017 
15 

2016 
18 

2018 
15 

2019 
15 

2020 
15 

F 

Number of civil protection projects contributing 
to  increased  public  awareness  and  preparedness 
for disasters (new output) 
F 
Contracts  contributing 
awareness 
P 
Justification of changes to the financial programming and/or to the performance information 
The projects in the area of civil protection (either prevention or preparedness projects) contribute to a better awareness of citizens 
and preparedness for disasters. Projects coordinators are requested to disseminate project results to the general public as much as 
possible. 

increased  public 

2 
2 

1 
1 

12 

20 

to 

P 

2 

2 

2 

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HEADING 3: Security and citizenship 

Food and Feed 
Lead DG: SANTE 

I. Programme Overview 

What the programme is about? 

Regulation (EU) No 652/2014 established the Programme for the Union's action in the field of food chain, animal health and animal 
welfare, and relating to plant health and plant reproductive material. The aim is to contribute to a high level of health for humans, 
animals and plants along the food chain and in related areas, by preventing and eradicating diseases and pests and by ensuring a 
high  level  of  protection  for  consumers  and  the  environment,  while  enhancing  the  competitiveness  of  the  Union  food  and  feed 
industry and favouring the creation of jobs;. The Programme has four specific objectives:  

1. 

2. 

3. 
4. 

to contribute to a high level of safety of food and food production systems and of other products which may affect the safety of 
food, while improving the sustainability of food production; 
to  contribute  to  achieving  a  higher  animal  health  status  for  the  Union  and  to  support  the  improvement  of  the  welfare  of 
animals;  
to contribute to the timely detection of pests and their eradication where those pests have entered the Union; and  
to contribute to improving the effectiveness, efficiency and reliability of official controls and other activities carried out with a 
view to the effective implementation of and compliance with the Union rules. 

The  Food  and  Feed  Programme  is  implemented  through  annual  work  programmes.  Moreover,  financial  support  to  emergency 
measures is provided in order to contain animal diseases and pest outbreaks. The emergency measures act as a fire-extinguisher to 
put down or contain the outbreak and avoid further spread of the disease. 

EU added value of the programme 

Diseases can rapidly spread between Member States and involve the entire EU market. The EU intervention is needed in order to 
minimise the impact on human, animal and plant health, as well as on the industry and the markets with a view to reducing risks 
and bringing improvements all along the food chain through preventive actions and management of crises. 

With a relatively limited budget of around EUR 250 million per year (representing EUR 0.5 per citizen of the EU per year), this EU 
budget ensures a high level of protection of humans, animals, and plants while protecting also the whole agri-food industry in the 
EU which is estimated at more than EUR 410 billion, representing the largest manufacturing sector in Europe with some 44 million 
jobs in the EU. The competitiveness of the European food productions depends on their reputation, with the EU food safety budget 
playing a crucial role in contributing to the safety and quality of European food products. 

Experience  shows  that  EU  added  value  in  the  food  chain  area  goes  beyond  what  individual  Member  States  could  achieve  by 
implementing national  measures  without EU support. The achievement of a higher animal and plant health status in the EU  was 
possible thanks to both the technical and financial support provided by the EU to the Member States: on the one hand, budgets of 
Members  States  alone,  especially  of  those  struggling  with  economic  crisis  or  other  constraints,  have  difficulties  to  secure 
appropriate financial resources to respond to the combination of present and potential challenges; on the other hand, the variety of 
measures to put in place to tackle pests and diseases requires a centralised management system in order to properly coordinate and 
organise  the  implementation  of  specific  actions  in  the  Member  States.  Member  States  which  might  not  have  a  direct  interest  in 
combatting a particular disease or pest also have to be reminded of their obligation to look to the overall EU interest. This requires 
a centralised approach to ensure the necessary oversight and a high level of overall ambition in combatting diseases.  

The  EU  added  value  provided  by  the  EURLs  activities  and  the  BTSF  programmes  is  linked  to  the  nature  of  their  activities:  the 
network of laboratories ensures that all EU Member States work within a consistent and uniform regulatory framework, while the 
EU  training  programme  promotes  a  common  approach  towards  the  implementation  and  enforcement  of  EU  legislation.  This 
contribution towards the harmonisation of rules at Union level and the sharing of knowledge and expertise in the food chain and 
related areas is a concrete example of positive interaction within the EU, which could not be achieved through isolated efforts at 
national level and without the EU financial support. 

II. Programme Update 

Implementation Status (2014-2017) 

As for 2014, 2015, and 2016, all annual work programmes related to 2017 activities and associated funding have been adopted and 
implemented as foreseen. These include national programmes for the eradication, control, and surveillance of animal diseases and 
zoonoses; national  survey programmes  for pests;  training in the  field  of food and feed safety, animal  health, animal  welfare and 
plant health;  IT tools in the field of food safety, animal health, animal welfare, and plant health; the European Union Reference 
Laboratories. Due to their specific nature and unpredictability, in general, no work programme for emergency measures is adopted; 
however,  co-funding  for  emergency  measures  related  to  outbreaks  in  2016  and  2017  was  ensured  through  the  adoption  of  one 
common financing decision regarding the Union financial contribution to emergency measures to combat certain animal diseases 

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and  plant  pests  in  2016  and  2017.    However,  the  recent  severe  outbreaks  of  Avian  Influenza  necessitated  an  increase  in  the 
maximum financial contribution by the Union authorised by the common financing decision as well as extension of the authorised 
period of implementation of the emergency measures well into 2018; the financing decision was amended accordingly. 

The  national  veterinary  programmes  target  transmissible,  often  epidemic  animal  diseases.  They  have  a  direct  impact  on  public 
health  because  of  food  safety  issues  and  because  some  animal  borne  diseases  are  transmissible  to  humans.  Furthermore,  animal 
disease  outbreaks  can  trigger  significant  economic  costs  through  loss  of  internal  EU  and  export  markets  and  the  direct  cost  of 
disease  control  on  the  EU  and  Member  States'  budgets.  There  were  130  national  veterinary  programmes  in  2017,  approved  and 
implemented in accordance with pre-defined priorities; the final report is due at the end of April 2018. Around EUR 150 million 
was allocated to co-fund them which accounts for the largest proportion of spending under the Food and Feed budget.  

The national survey programs for organisms harmful to plants ensure early detection and eradication of pest outbreaks. The national 
survey  programmes  were  approved  for  the  first  time  in  2015.There  were  24  national  survey  programs  implemented  in  2017  for 
which the final report is due at the end of April 2018. There is a steady increase in the number of survey programmes: in 2015 there 
were  17;  in  2016  there  were  22,  and  in  2017 24;  an  increase  that  is  indicative  of  the  growing  importance  of  this  relatively  new 
activity. 

In 2017 the system was put in action to further contain the outbreaks of Lumpy skin disease in the Balkan countries threatening to 
spread rapidly deep onto European territory. The EU co-funded emergency measures managed to contain the disease in Bulgaria, 
Greece, Croatia, and a number of third countries (Serbia, Kosovo, Montenegro, and Albania) through continuation of coordinated 
vaccination campaigns shielding the Union from further disease spread.  

The end of 2016 saw, however, the beginning of a massive large scale Avian Influenza outbreak across the European territory with 
extensive efforts to contain it continuing across the whole of 2017.There is an imminent threat for the disease to spread across vast 
territories and result in serious damage to the farming community and the export capacity of the Union. The Avian Influenza virus 
is  propagated  by  movement  of  wild  birds;  its  spread,  therefore,  cannot  be  controlled.  The  Union  has  committed  to  co-fund  the 
immediate implementation of emergency measures against Avian Influenza exceeding an overall budget of 100 million euro only 
for the period from the beginning of the outbreak in 2016 through 30th April 2017. The crisis will have a serious impact on the Food 
and Feed budget. 

In 2017, the Food and Feed programme also co-funded the fight against pest outbreaks amongst which the Asian long horn beetles, 
pinewood nematode and Xylella fastidiosa, the latest took up the largest portion. 

All  activities  carried  out  with  the  objective  to  improve  the  effectiveness,  efficiency,  and  reliability  of  official  controls  were  also 
implemented  as  planned.  In  2017  all  trainings  were  delivered  as  foreseen,  and  the  Better  Training  for  Safer  Food  programme 
(BTSF) trained approximately 13 200 public officials in Member States and third countries in charge of the controls in the Food 
and Feed area. The overall satisfaction rate of the participants attending the trainings is continuously rising from 88,7% in 2014 to 
89,8% in 2015, 90.4% in 2016, and 90% in 2017. 

There  were  46  EU  funded  European  Reference  Laboratories  (EURLs)  in  2017;  the  laboratories  helped  ensure  the  proper 
functioning of the internal market, the protection of human health, and the maintenance of consumers' confidence.  

The  EURLs  ensure  high-quality  and  uniform  testing  in  the  EU,  and  provide  trainings  to  hundreds  of  National  Reference 
Laboratories (NRL) in a number of food safety priority areas. This ensures  a consistent and uniform work of  all Member States. 
The  activities  performed  by  the  EURLs  have  contributed,  inter-alia,  to  the  continuous  update  of  diagnostic  tools  for  the  timely 
identification of pathogens. 

There were 202 audits carried out by the Health and Food Audits and Analysis Directorate of DG SANTE in the food and feed area 
in 2017  with 120 participations by  national experts.  All audits  were performed according to planning  while  still accommodating 
assignments in case of emergencies. All audit reports are public and available on the dedicated Commission website: 

 (http://ec.europa.eu/food/audits-analysis/audit_reports/index.cfm) 

Key achievements  

Rabies. Rabies national programmes co-financed by the Union have produced excellent results and registered considerable success 
in the last years with a dramatic decrease in the number of cases in wild life. There were 216 rabies cases in wild life in 2014,down 
to  100  cases  in  2015,  dramatically  reduced  to  18  cases  in  2016,  and  even  further  to  2  cases  in  2017;  this  is  also  a  considerable 
reduction  from  the  679  cases  in  2013  (baseline).  This  positive  trend  has  been  achieved  through  Union  targeted  technical  and 
financial support for the implementation of vaccination against rabies in the Member States. The successful implementation of the 
EU co-financed rabies programmes is also illustrated by the fact that there were very few cases of rabies in humans reported in the 
EU in the last years: 1 case in 2013, 1 case in 2014, 0 cases in 2015, and 0 cases in 2016 and 2017. 

Bovine  tuberculosis  and  brucellosis.  Diseases  such  as  bovine  tuberculosis  and  brucellosis  require  medium-to-long  term 
eradication  actions  so  that  Member  States  and  regions  are  granted  an  officially  free  status.  However,  in  the  last  few  years,  the 
progression of eradication of these diseases targeted by EU financial contribution shows a positive trend. In 2013 there were 16 MS 
officially free from bovine brucellosis, in 2015 there were already 18 MS officially free, 19 officially free in 2016 and in 2017, 1 
more MS was declared officially free bringing the number up to 20. For bovine tuberculosis, there were 15 MS officially free in 
2013,  in  2015  there  were  already  17  MS  officially  free,  and  18  in  2016  and  2017.  In  addition,  the  implementation  of  EU  co-

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financed bovine brucellosis eradication programmes has had an indirect effect on human health as the number of human cases has 
decreased from 357 in 2013 to 347 in 2014.  

The  Union  co-funds  the  national  programmes  against  bovine  tuberculosis  and  brucellosis  implemented  by  the  Member  States. 
Eligible costs are related to sampling and testing activities as well as compensation to the owners for their animals killed in case of 
infection. These cure activities aim to progressively eliminate the disease in the concerned areas. The elimination of the disease has 
a direct positive impact on the functioning of the internal market, on trade with third countries, as well as on public health. 

Lumpy  skin  disease  (LSD)  In  2016  and  2017  the  emergency  measures  against  Lumpy  skin  disease  (LSD)  marked  a  major 
achievement. These  were put in action immediately  and managed to contain the outbreaks in  Greece and Bulgaria. The EU took 
additional action within the emergency measures framework to fund the prompt purchase of LSD vaccines in a number of Balkan 
third countries (Serbia, Kosovo, Montenegro, and Albania) where rapid mass vaccination prevented the spread of the disease deep 
onto Union territory. EU-funded emergency measures blocked the spread of the disease. The EU also established an LSD vaccine 
bank to assist Member States with a quick supply of vaccines for current and future outbreaks in anticipation of future risks. 

African swine fever (ASF) Over the last years EU co-financing of emergency measures made it possible to successfully contain 
African  swine  fever  (ASF)  introduced  in  the  east  part  of  the  EU  by  wild  boar  movement  from  Belarus  and  Ukraine  in  the  four 
Member States affected. In 2017, there have been new incursions of the disease in new areas of Poland and in new Member States 
(Czech Republic and Romania) linked to human activities  and not to the natural  way of disease spread by  wild boar movement.  
The  EU  well-targeted  and  multifaceted  response  to  the  ASF  and  LSD  outbreaks  kept  the  negative  effects  limited  while  the 
epidemics could have had devastating effects on animal health and on the sustainability of the sector.  Containment of the disease in 
the EU has no equivalent in other non-EU affected countries where the disease spread thousands of kilometres in a few years. 

Evaluations/studies conducted 

On  26  April  2016,  the  European  Court  of  Auditors  published  its  Special  Report  on  a  performance  audit  on  animal  disease 
eradication programmes. The Court examined whether the national veterinary programmes adequately contained animal diseases by 
assessing the approach taken by the Commission (DG SANTE) and the Member States’ programmes' design and implementation. 
The  special  report  entitled  "Eradication,  control  and  monitoring  programmes  to  contain  animal  diseases"  concluded  that  the 
approach  taken  by  the  Commission  was  sound  and  was  supported by  good  technical  advice,  risk  analysis,  and  a  mechanism  for 
prioritising resources. The Court acknowledged that there have been some notable successes, for example, decrease in the cases of 
bovine spongiform encephalopathy (BSE) in cattle, salmonella in poultry, and rabies in wildlife.  Overall, the Court concluded that 
the  audited  animal  disease  programmes  adequately  contained  animal  diseases.  However,  the  Court  stressed  that,  as  disease 
outbreaks can always occur, the Commission and the Member States should continue the efforts. 

Four  recommendations  issued  by  the  Court  have  been  accepted  by  the  Commission  and  addressed  with  a  detailed  action  plan 
outlining  the  particular  actions  to  be  taken  with  regard  to  each  of  the  recommendations  and  the  corresponding  deadlines.  These 
recommendations were that the Commission should: 

facilitate the exchange of epidemiological information between Member States; 

a) 
b)  examine  whether  the  existing  set  of  indicators  should  be  updated  to  provide  better  information  on  veterinary  control 

activities and the cost-effectiveness of programmes; 

c)  systematically include, when relevant, the wildlife aspect in the veterinary programmes; 
d)  support the availability of vaccines for use by the Member States when epidemically justified. 

Three  out  of  the  four  recommendations  (b,c  and  d)  have  already  been  implemented  or  partly  implemented.    Modifications  to 
indicators  (recommendation  b))  were  discussed  during  the  annual  meeting  of  the  task  force  on  animal  diseases  eradication  in 
February 2017 and amendments to the template for the submission of annual reports were made.  JRC will deliver the final report 
on "cost effectiveness analysis methodology for the food chain area" during the 1st quarter of 2018.   

Furthermore,  a  mapping  of  relevant  diseases  was  carried  out  to  optimise  the  inclusion  of  the  wildlife  aspect  in  the  veterinary 
programmes (recommendation c)).  Besides the diseases  with a  wildlife aspect  already covered by the programmes, the analysis 
showed that from an epidemiological point the wildlife aspect is not relevant for bovine bruxellosis, sheep and goat brucellosis and 
TSE. 

As far as vaccines are concerned (recommendation d)), banks exist since many years for classical swine fever and foot and mouth 
disease.  In 2016 a bank for Lumpy Skin Disease was set up and further developed in 2017 as was also the case for a vaccine bank 
against Sheep and Goat Plague ("peste des petits ruminants").   

The  Commission  is  working  together  with  the  OIE  on  the  merging  of  different  notification  systems  (ADNS  and  WAHIS  into 
ADIS) but due to the technical (IT) complexity of the operation, the deadline  was postponed.  This recommendation (a)) will be 
implemented in accordance with the action plan.  

In the second half of 2016, DG SANTE launched an external evaluation exercise in support to the Commission's effort to conduct 
the  interim  evaluation  of  Regulation  (EU)  No  652/2014,  which  lays  down  provisions  for  the  management  of  the  food  chain 
expenditure under the Multiannual Financial Framework 2014-2020. The final report of the external evaluation was delivered by 
the  selected  contractor  in  July  2017,  while  the  Commission  mid-term  evaluation  report  was  established  and  presented  to  the 
European Parliament and to the Council in September 2017.  

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Overall,  the  mid-term  evaluation  revealed  that  the  CFF  Regulation  is  functioning  well  within  its  policy  context.  All  activities 
receiving EU financial support in this area have proven to serve the CFF objectives, namely the improvement of human, animal and 
plant health, as well as the overall Commission’s priorities, including the functioning of an effective internal market and the support 
to  trade  with  non-EU  countries.  The  EU  financial  provisions  on  food  safety,  animal  and  plant  health  have  been  recognised  as 
uniform and consistent in their application and enforcement in all EU Member States. This ensures in turn that both citizens and 
businesses are confident that this financial framework is fair and effective in promoting high safety standards in a key sector of the 
EU  economy.  The  activities  funded  under  the  CFF  Regulation  contribute  to  an  EU  which  is  safe  and  secure,  prosperous  and 
sustainable, social, and stronger on the global scene. These findings lay the basis for the forthcoming work toward the proposal for 
a post-2020 food chain programme.  

To further complement the evaluation of Regulation (EU) No 652/2014, and to follow up on a Court's recommendation, a targeted 
study to perform cost-effectiveness analysis in the food chain area is being carried out by the JRC. The objective is to develop and 
implement a comprehensive set of cost-effectiveness indicators for the main spending areas covered by the Food Chain programme. 
The study should also investigate the potential calculation of the cost of non-intervention at EU level. The study is ongoing and the 
final report is expected to be delivered by the JRC by February 2018. 

Concurrently,  an  external  study  focused  on  data  gathering  and  analysis  in  the  food  chain  area  was  launched  in  October  2017.  It 
covers  all  policy  areas  under  the  food  chain  funding,  and  consists  of  two  assignments:  the  first  one  focuses  on  gathering  and 
analysing  data  on  the  cost-efficiency,  benefits  and  EU  added-value  of  the  actions  performed  under  the  Food  Chain  Programme, 
including the  projection of those  elements  under different  budgetary scenarios; the  second one, based on relevant budgetary and 
policy indications  made available, on designing detailed programme indicators for future monitoring and evaluation  purposes,  in 
relation  to  the  actions  that  will  be  retained  for  the  Food  Chain  Programme  post-2020.    Its  intermediate  and  final  findings  will 
progressively  feed  into  the  preparatory  works  towards  the  presentation  of  a  Commission's  proposal  for  a  post-2020  Food  Chain 
Programme. The final report is expected to be delivered by the selected contractor in May 2018. 

Forthcoming implementation (2018-2019)  

The  forthcoming implementation of the Food and Feed programme  will  further focus on the prevention and the reduction of the 
incidence  of  animal  and  plant  health  diseases,  the  minimization  of  the  impact  of  outbreaks  when  they  occur,  and  the 
implementation of effective official controls in the area. 

The national veterinary programs will continue to target the progressive elimination of animal diseases and the implementation of 
disease  monitoring  measures  across  the  EU.  Disease  eradication  is  a  long-term  exercise  that  requires  continuous  and  consistent 
effort over a  long period of time. There are 134 annual national  veterinary programs approved for 2018 and a similar number  is 
expected for 2019. The multiannual work programme for the implementation of the veterinary programmes for animal diseases and 
zoonoses for the period 2018 – 2020 was proactively adopted yet in the first half of 2017. The national veterinary programmes for 
2018 have already been approved, the corresponding Grant decisions issued, and all related commitments done. 

Globalisation of the plant trade together with the climate change have substantially increased the risk of plant pest infestation. Early 
detection  and  control  is  essential  to  mitigate  the  trade  and  the  economic  consequences.  Thus,  EU  co-financing  of  the  national 
survey programs will facilitate further in 2018 and 2019 the earliest possible detection and eradication of priority pests on the EU 
territory. The number of co-funded annual survey programmes is gradually increasing with 24 approved programmes in 2018 (24 in 
2017  but  22  in  2016,  and  17  in  2015)  indicating  the  growing  importance  of  the  EU  co-funding  in  this  area.  The  Commission 
adopted the work programme for the implementation of plant health survey programmes for the years 2017-2018 on 28 April 2016, 
as  well  as  associated  funding  for  2017  and  2018.  The  national  survey  programmes  for  2018  have  already  been  approved,  the 
corresponding Grant decisions issued, and all related commitments done.  

EU  contribution  to  emergency  measures  will  further  target  the  proper  and  rapid  management  of  potential  future  outbreaks.  As 
regards  animal  diseases,  the  recent  severe  outbreaks  of  Avian  influenza  in  a  number  of  Member  States  threaten  to  spread  the 
disease across vast territories and result in serious damages to the farming community and the export capacity of the Union.  Avian 
influenza  is  transmitted  by  the  movement  of  wild  birds  and  its  spread  is  unpredictable.  The  implementation  of  EU  co-funded 
emergency measures started in late 2016 and will continue further in 2018, in order to prevent uncontrollable spread and substantial 
damage. As of now, the expected EU contribution for this last Avian influenza outbreak exceeds 120 million euro. This necessitates 
an increase in the Food and Feed budget for emergency measures in 2019.  

African  swine  fever  also  continues  to  pose  a  serious  threat  in  the  east  part  of  the  EU  triggered  by  wild  boar  movements  from 
bordering third countries such as  Belarus and Ukraine. The new diseases that entered the Union from Turkey into Greece at the end 
of 2015, namely Lumpy skin disease and Sheep pox, will continue to require emergency measures including massive vaccination in 
both Member States and Balkan third countries to ensure the Union is protected from further disease spread. If not quickly detected 
and effectively treated, these diseases can expand uncontrollably and cause substantial damages. In 2018 and 2019 there will be the 
constant need to address animal disease outbreaks continuously and with utmost urgency as the consequences can be dramatic with 
huge losses for the sector. 

As regards pests, the recent outbreak of Xyllela Fastidiosa in Italy, France, Germany, and Spain caused great damage to the olive 
trees and manifested that there is a constant threat and the Union should remain vigilant. It is currently contained in the region of 
Puglia which is the most affected region but further efforts will be required to stop its spread. It should be stressed that from 2017 
Regulation (EU) No 652/2014 foresees that in case of emergency measures in plant health, the owners may be compensated for the 

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value of their destroyed plants; this has to be foreseen as a new development and an additional cost on the EU budget in the years to 
come.  

All activities planned for 2018 and 2019 towards improving the effectiveness, efficiency, and reliability of official controls target to 
enhance  the  capability  of  the  EU  system  as  a  whole  to  detect  violations  of  the  food  chain  requirements  and  also  to  strengthen 
Member States' capability to ensure cross-border enforcement through mutual assistance. The work of the EURLs will continuously 
lead to better implementation of the EU legislation by enforcing legislative limits and reducing the need to repeat testing;  this will 
result in strengthened functioning of the EU internal market as well as consumers benefiting from safe food and products. In order 
to  maintain  the efficiency of  the  network, to capitalize on  the  knowledge already built,  and to  keep the  same high  level of  food 
safety in the Union, funding for 48 EU reference laboratories is planned for 2018 and for 47 in 2019 (decrease due to Brexit). 

In 2018 and 2019 BTSF will continue to play a key role in improving the efficiency and reliability of official controls by delivering 
high-value  training  courses  on  EU  legislation  to  Member  State  staff  responsible  for  official  controls  in  the  sanitary  and 
phytosanitary fields (175 trainings planned annually for 2018 and 2019). It will also focus on developing e-learning modules which 
will significantly expand the number of trainees. The BTSF work programme for 2018 is under preparation. The audits and related 
control activities of DG SANTE, in both Member States and non-EU countries exporting to the EU, will target again in 2018 and 
2019 verification that national controls are carried out in accordance with EU legislation and that they are effective. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Regulation (EU) No 652/2014 of the European Parliament and of the Council of 15 May 2014 laying down 
provisions for the management of expenditure relating to the food chain, animal health and animal welfare, 
and  relating  to  plant  health  and  plant  reproductive  material,  amending  Council  Directives  98/56/EC, 
2000/29/EC and 2008/90/EC, Regulations (EC) No 178/2002, (EC) No 882/2004 and (EC) No 396/2005 
of the European Parliament and of the Council, Directive 2009/128/EC of the European Parliament and of 
the  Council  and  Regulation  (EC)  No  1107/2009  of  the  European  Parliament  and  of  the  Council  and 
repealing Council Decisions 66/399/EEC, 76/894/EEC and 2009/470/EC 

2014 - 2020 

1 891,9 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

1,5 
250,7 
1,2 
253,4 

1,5 
243,0 
1,2 
245,6 

1,5 
250,3 
1,2 
253,0 

1,5 
256,3 
1,2 
258,9 

1,5 
277,5 
1,2 
280,2 

1,5 
295,0 
1,2 
297,7 

1,5 
283,9 
0,9 
286,3 

Total 
Programme 
10,5 
1 856,7 
8,0 
1 875,1 

2017 

2018 

CA 
258,928 

Impl. Rate 
100,00 % 

PA 
239,991 

Impl. Rate 
99,13 % 

CA 
280,178 

Impl. Rate 
56,42 % 

PA 
244,375 

Impl. Rate 
3,26 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

98,15 % 

56,46 % 

99,59 % 

281,395 

245,037 

261,956 

248,071 

4,29 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
75% of the population aged 20-64 should be employed 
20 million less people should be at risk of poverty 

4. Performance information 

General objectives 

General  Objective  1: contributing  to  a  high  level  of  health  for  humans,  animals  and  plants  along  the  food  chain  and  in  related 
areas,  by  preventing  and  eradicating  diseases  and  pests  and  by  ensuring  a  high  level  of  protection  for  consumers  and  the 
environment, while enhancing the competitiveness of the Union food and feed industry and favouring the creation of jobs 
Indicator 1: Incidence of main food-borne disease in the EU (BSE and Salmonella) 

Baseline 
2012 

BSE: 18 BSE cases 
(including 11 classical 
BSE cases) 

2014 

2015 

2016 

2017 

Milestones foreseen 

2019 

Target 2020 

0classical BSE cases 

2018 
less than 5 classical 
BSE cases 
67 000 confirmed cases 
of human salmonellosis 

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Salmonella: 90 000 
confirmed cases of human 
salmonellosis 

Actual results 

11 BSE cases 
88 715 
confirmed cases 
of human 
salmonellosis 

2 BSE cases 
84 625 
confirmed cases 
of human 
salmonellosis 

5 BSE cases 
94 530 
confirmed cases 
of human 
salmonellosis 

Data not 
available yet 

Specific objectives 

60 000 cases; 
continuous reduction 
of 3 to 5 % per year - 
no eradication 
possible 

Specific Objective 1: to contribute to a high level of safety of food and food production systems and of other products which may 
affect the safety of food, while improving the sustainability of food production 
Indicator 1: the reduction in the number of cases of diseases in humans in the Union which are linked to food safety or zoonoses 

Baseline 
2012 

2014 

2015 

2016 

2017 

Milestones foreseen 

90 000 confirmed cases of 
human salmonellosis 
Source: EFSA and ECDC 

92 012  

94 597  

94 530  

Data n.a. 

Actual results 

2018 
67 000  

2019 

Target 2020 

60 000 
cases;continuous 
reduction of 3 to 5% 
per year /no 
eradication possible 

Expenditure related outputs 
Please see the Expenditure related outputs table under Specific Objective 2. 

Specific Objective 2: to contribute to achieving a higher animal health status for the Union and to support the improvement of the 
welfare of animals 
Indicator 1: the increase in the number of Member States or their regions which are free from animal diseases in respect of which a 
financial contribution is granted 

Baseline 
2013 

Bovine brucellosis: 16 MS 
and 23 regions officially 
free 

Bovine tuberculosis: 15 
MS and 
14regionsofficiallyfree 

Melitensis: 19 MS and 18 
regions officially free 

Source: annual report 
submitted by MS to the 
Commission/ ADNS 
notification DG SANTE 

Milestones foreseen 

2014 

2015 

2016 

2017 
19 MS and 30 regions 
officially free 
16 MS and 
20regionsofficiallyfree 
22 MS and 28 regions 
officially free 

18 MS and 26 
regions 
officially free 

18 MS and 4 
regions 
officially free 

19 MS and 4 
regions 
officially free 

20 MS and 4 regions 
officially free 

Actual results 

16 MS and 14 
regions 
officially free 
19 MS and 25 
regions 
officially free 

17 MS and 3 
regions 
officially free 
20 MS and 4 
regions 
officially free 

18 MS and 3 
regions 
officially free 
20 MS and 4 
regions 
officially free 

18 MS and 4 regions 
officially free 

20 MS and 4 regions 
officially free 

2018 

2019 

Target 2020 

25 MSs officially 
free and Eradication 
in 27 MSs 

23 MSs officially 
free and Eradication 
in 26MSs 

25 MSs officially 
free and Eradication 
in 27 MSs 

Indicator 2: an overall reduction of disease parameters such as incidence, prevalence and number of outbreaks 

Baseline* 
2013 

Bluetongue: 6196  
outbreaks 

Classical swine fever: 0 
outbreaks in domestic pigs 
(42 in wild boar) 

African swine fever: 109 
outbreaks in domestic pigs 
and 67  in wild boar 

Swine vesicular disease: 
25 outbreaks in domestic 
pigs 

BSE: 7 positive animals 

2014 

2015 

2016 

9435 

653 

2919 

Milestones foreseen 

2017 
Eradication subject to vector, 
climate change, and vaccination 
Actual results 

4539 
0 outbreaks in domestic pigs 

Actual results 

1 (and 27) 

0 (and 5) 

0 (and 0) 

0 (and 0) 
10 outbreaks in domestic pigs 
and  2 in wild boar 

80 and 334 

58 and 
1713 

71 and 
2463 

141 and 3951 

Actual results 

5 

1 

0 

0 outbreaks in domestic pigs 

Actual results 

0 
Less than 5 positive animals 

2018 

2019 

Target 2020 

Eradication subject to 
vector, climate 
change, and 
vaccination 

0 outbreaks in 
domestic pigs 

0 outbreaks in 
domestic pigs 

0 outbreaks in 
domestic pigs 

Less than 5 positive 

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Scrapie (sheep and goats) 
17% prevalence 

Rabies: 679 outbreak in 
wild animals 

Avian influenza: no 
outbreak in poultry and 
wild birds of HPAI 

Actual results 

11 positive 
animals 

2 positive 
animals 

5 positive 
animals 

Data not available yet 

14% of prevalence 

Data not 
available 

Data not 
available 

Data not 
available 

Data not available 

80374 outbreaks in wild animals 

Actual results 

216 

100 

18 

Actual results 

2 
0 outbreaks of HPAI in 
domestic animals 

Actual results 

10 and 0 

75 and 6 

391 and 
312 

820 and 1144 

animals (long 
incubation period) 

8 % of prevalence 

0374 outbreaks in wild 
animals 

0 outbreaks of HPAI 
in domestic animals 

*For all the data above, source of information is the annual report submitted by MS to Commission/ ADNS notification DG SANTE. 
Expenditure related outputs 

Outputs 

Budget line 

Bovine brucellosis 
Bovine tuberculosis 
Ovine/caprine brucellosis 
Bluetongue 
Salmonella 
Swine diseases 
Avian influenza 
TSE,BSE and scrapie 
Rabies 
Other veterinary measures, animal welfare and vaccines/antigens 
Total 

17 04 01 
17 04 01 
17 04 01 
17 04 01 
17 04 01 
17 04 01 
17 04 01 
17 04 01 
17 04 01 

Draft Budget 2019 

Number 
3 
6 
5 
15 
24 
16 
26 
26 
12 

133 

EUR million 
10 
56 
9.5 
8 
19 
18 
4 
9.5 
25 
12.5 
171.5 

6 

5 

Outputs 

2019 
3 

2018 
3 

tuberculosis  eradication 

number of salmonella control programmes 

number  of  bovine  brucellosis  eradication 
programmes 
number  of  bovine 
programmes 
number  of  ovine/caprine  brucellosis  eradication 
programmes 
number  of  bluetongue  eradication/monitoring 
programmes 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
Justification of changes to the financial programming and/or to the performance information 
All changes to the number of planned veterinary programmes follow the development of the epidemiological situation. 

Number of outputs foreseen (F) and produced (P) 
2017 
3 
3 
6 
6 
5 
5 
15 
15 
24 
24 
14 
14 
26 
25 
26 
26 
12 
12 

2016 
3 
3 
6 
6 
5 
5 
14 
14 
24 
24 
13 
13 
25 
25 
27 
27 
13 
13 

2015 
5 
5 
7 
7 
5 
5 
15 
15 
24 
24 
14 
15 
26 
25 
28 
27 
13 
13 

2014 
5 
5 
6 
6 
6 
6 
18 
18 
25 
25 
10 
10 
28 
28 
28 
28 
13 
13 

number  of  swine  disease  (CSF,  ASF  and  SVD) 
control programmes 

number  of  TSE  monitoring  and  BSE/scrapie 
eradication programmes 

number of avian influenza survey pogrammes 

number of rabies eradication programmes 

16 

15 

15 

24 

24 

26 

16 

12 

26 

12 

25 

26 

5 

5 

2020 
3 

2 

1 

15 

24 

16 

26 

26 

12 

Specific Objective 3: to contribute to the timely detection of pests and their eradication where those pests have entered the Union 
Indicator  1: the  coverage  of  the  Union  territory  by  surveys  for  pests,  in  particular  for  pests  not  known  to  occur  in  the  Union 
territory and pests considered to be most dangerous for the Union territory 

Baseline 
2012 
Percentage of EU territory covered by 
surveys for pests, in particular for pests 
not known to occur in the Union territory:  

Milestones foreseen 

2014 
10 % 

2015 
50 % 

2016 
60 % 

2017 
70 % 

2018 
80 % 

2019 
90 % 

Target 2020 

100 % 

100 % 

100 % 

100 % 

100 % 

100 % 

100 % 

374 Given the positive results in 2014 and 2015, the milestone for 2016 has been reduced from 200 to 80 outbreaks, and the target for 2020 from 100 to 0 outbreaks. 

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5% coverage Percentage of EU territory 
covered by surveys for pests considered to 
be most dangerous :  
100% coverage  

60.71% 

78.50% 

Actual results 
85.70% 

100 % 

100 % 

100 % 

100% 

Indicator 2: the time and success rate for the eradication of those pests 

DB2019 

100 % 

Baseline 
2015 
Time to eradicate pests not known to 
occur in the Union, number of days 
between finding and notification: 42 days 
Success rate in eradicating pests not 
known to occur in the Union: at this stage 
it is not measurable 

Source: DG SANTE 

Expenditure related outputs 

Outputs 

Survey programmes (Art.20) 
Outermost regions (Art.25) 
Total 

Outputs 

Survey programmes (Art.20) 

Outermost regions (Art.25) 

Milestones foreseen 

2014 

2015 
42 days 

2016 

2017 
20 

Actual results 

42 days 

Data n.a. 
yet 

Data n.a.yet 

2018 

2019 

Target 2020 

8 days 

95 % 

Budget line 

17 04 02 
17 04 02 

Draft Budget 2019 

Number 
28 

28 

EUR million 
28.5 

28.5 

2014 
5 
0 
3 
1 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
24 
24 
0 
0 

2016 
20 
22 
0 
0 

2018 
24 

2015 
17 
17 
3 
1 

0 

0 

2019 
28 

2020 
28 

0 

Specific Objective 4: to contribute to improving the effectiveness, efficiency and reliability of official controls and other activities 
carried out with a view to the effective implementation of and compliance with the Union rules 
Indicator 1: a favourable trend in the results of controls in particular areas of concern carried out and reported on by Commission 
experts in the Member States 

Baseline 
2013 
Percentage of DG SANTE 
recommendations following audits 
that MS have satisfactorily addressed 
with corrective action: 60% of 
recommendations from reporting 
cycles 2010-2012 

Expenditure related outputs 

Outputs 

Laboratories 
BTSF 
national experts FVO 
Computerised systems + IT 
Communication 
Data collection 
Studies and evaluations 
Total 

Outputs 

Laboratories and centres 

BTSF 

National experts FVO 

Computerised  systems  (EU  alert  systems,  large 
scale) 

Communication 

2014 

2015 

Milestones foreseen 

2016 
70% of all recommendations from 
these reporting years to be 
addressed 

Actual results 

2017 

2018 

2019 

Target 2020 

95 % of all 
recommendations 
addressed 

74 % 

79% 

79% 

74 % 

Budget line 

17 04 03 
17 04 03 
17 04 03 
17 04 03 
17 04 03 
17 04 03 
17 04 03 

Draft Budget 2019 

Number 
47 
175 
125 
7 
10 
9 
12 

EUR million 
19 
18 
0.4 
12 
0.6 
3 
7 
60 

2014 
45 
44 
95 
180 
125 
94 
6 
6 
8 
8 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

2019 
47 

2018 
48 

Number of outputs foreseen (F) and produced (P) 
2017 
45 
46 
175 
170 
125 
120 
7 
7 
10 
10 

2016 
43 
43 
170 
200 
125 
168 
7 
7 
8 
8 

2015 
43 
43 
170 
170 
125 
132 
7 
7 
8 
8 

175 

125 

10 

7 

180 

125 

7 

10 

2020 
50 

180 

125 

8 

10 

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Outputs 

Data collection and Coordinated control plans 

Studies and evaluations 

2014 
4 
4 
7 
15 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
7 
7 
10 
10 

2016 
6 
6 
10 
10 

2018 
9 

2015 
5 
5 
10 
15 

12 

12 

2019 
9 

2020 
9 

13 

5. Programme contribution to the Sustainable Development Goals 
The  food  safety  policy  area  is  concerned  by  SDG  2  "End  hunger,  achieve  food  security  and  improved  nutrition  and  promote 
sustainable agriculture" and SDG 12 "Ensure sustainable consumption and production patterns". Given the interlinked nature of the 
SDGs, DG SANTE policies can transversally make their contribution to the overall achievement of the goals. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme – not apllicable 

7. Programme related additional information -Expenditure related outputs not linked to a specific objective 

Emergency measures related to animal and plant health 

Outputs 

Budget line 

Draft Budget 2019 

Animal diseases 
Plant pests 
Total 
Since  the  end  of  October  2016,  highly  pathogenic  avian  influenza  virus  has  been  detected  in  poultry,  captive,  and  wild  birds  in 
several EU Member States. All affected Member States immediately took measures  within  the affected areas (regionalisation) in 
accordance with the EU legislation on the control of avian influenza, including stamping out and establishment of zones. 

17 04 04 
17 04 04 

Number 
10375 
10376 

EUR million 
40 
10 
50 

Following a technical and financial evaluation of the requests for co-funding, and in accordance with Commission Implementing 
Decision C(2016) 4840 of 29 July 2016 on the adoption of a financing decision regarding a financial contribution by the Union to 
emergency  measures  to  combat  certain  animal  diseases  and  plant  pests  in  2016  and  2017  and  the  adoption  of  Commission 
Implementing  Decisions  C(2017)4987    of  18  July  2017  amending  Implementing  Decision  C(2016)  4840  on  the  adoption  of  a 
financing decision regarding a financial contribution by the Union to emergency measures to combat certain animal diseases and 
plant pests in 2016, 2017 and 2018 (increasing the budget available for emergency measures in view of the crisis), the Commission 
awarded grants providing co-financing to the affected Member States for the period from the start of the epidemics until 30th April 
2017. The total expected amount of EU contribution comes up to approximately 105 million euro for the period in question. 

In October 2017, through re-deployment of funds, the Commission managed to pay an advance payment to the affected Member 
States of 35% of the estimated budget amount covered by the respective grant decisions.  After the 2017 Global Transfer exercise 
DG  BUDG  made  available  about  3  million  euro  in  commitment  and  payment  appropriations  for  the  Food  and  Feed  Emergency 
measures  budget  targeted  at  paying  out  further  the  outstanding  debt  related  to  the  Avian  Influenza  crisis.  DG  SANTE  managed 
again through re-deployment of funds to make about 7 million euro in both commitment and payment appropriations available, so 
that the total amount to be directed as a second advance payment to Member States affected by Avian Influenza currently comes up 
to 9,825,000 euro. With this second advance being paid in December 2017, the current outstanding debt for the period until 30 th 
April 2017 stays at approximately 60 million euro. 

However,  the  Avian  influenza  outbreak  continued  to  unroll.  At  the  moment,  the  expected  EU  contribution  towards  the  Member 
States affected for the period starting as of 1st May 2017 comes up to approximatelyEUR 18 million. Payment towards the Member 
States affected by Avian Influenza will be done in the course of 2018 and 2019 following evaluation of the cost claims to be sent by 
the Member States as well as the progress of the audit missions as due to the large amounts involved a great number of the files will 
be  subject  to  on-the-spot  audits.    However,  budget  requested  for  emergency  measures  in  2019  needs  to  be  increased  so  that  the 
Union is in a position to honour its commitments towards the affected Member States. The budget available on budget line 17.0404 
should therefore be increased to EUR 50 million for 2019. It should be noted that the Union should also be in a position to continue 
to  fund  emergency  measures  against  other  threats  such  as  African  swine  fever  and  Lumpy  Skin  disease  as  well  as  plant  pest 
outbreaks such as Xyllela. 

375 Data is unpredictable, it depends on the evolution of the epidemiological situation 
376 Data is unpredictable, it depends on the evolution of the epidemiological situation 

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HEADING 3: Security and citizenship 

Union action in the field of health (Health Programme) 
Lead DG: SANTE 

I. Programme Overview 

What the programme is about ? 

Good  health  is  a  major  concern  of  European  citizens.  The  European  Union  (EU)  works  for  better  health  protection  through  its 
policies and activities, in accordance with Article 168 of the Treaty on the Functioning of the European Union. The EU does not 
define  health  policies,  nor  the  organisation  and  provision  of  health  services  and  medical  care.  Instead,  its  action  serves  to 
complement national policies and to support cooperation between member countries in the field of public health. 

Regulation  (EU)  No  282/2014  established  the  third  Programme  for  the  Union's  action  in  the  field  of  health  (2014-2020)  as  a 
financial  instrument  for  policy  coordination  at  EU  level.  The  aim  is  to  complement,  support  and  add  value  to  the  policies  of 
member  States  in  improving  the  health  of  EU  citizens  and  reducing  health  inequalities,  encouraging  innovation  in  health  and 
increasing the sustainability of health systems. The Programme has four specific objectives:  

1) promote health and healthy living and prevent diseases; 
2) protect Europeans from serious cross-border health threats;  
3) contribute to innovative, efficient and sustainable health systems; and  
4) facilitate access to better and safer healthcare for Europeans. 

The Health Programme is implemented through annual work programmes focusing on Commission priorities. A major part of the 
Health Programme is implemented by the Consumers Health Agriculture and Food Executive Agency (CHAFEA). 

EU added value of the programme 

As stated in Article 168 of the Treaty on the Functioning of the European Union, EU action must complement national policies and 
encourage cooperation between Member States. The programme contributes only where Member States cannot act individually or 
where coordination is the best way to move forward. 

The  programme  focuses  on  fostering  best  practice  exchange  between  Member  States  and  supporting  networks  for  knowledge 
sharing  or  mutual  learning.  Moreover  actions  are  undertaken  addressing  cross-border  health  threats  to  reduce  risks  and  mitigate 
consequences. The Health programme addresses issues relating to the internal market where the EU has substantial legitimacy to 
ensure  high-quality  solutions  across  Member  States  and  targets  actions  unlocking  the  potential  of  innovation  in  health.  Lastly  it 
promotes  actions  that  could  lead  to  a  system  of  benchmarking  or  improving  economies  of  scale  by  avoiding  waste  due  to 
duplication and optimising the use of financial resources. 

II. Programme Update 

Implementation Status (2014-2017) 

Annual Work Programmes (AWP) 2014, 2015, 2016 and 2017 were adopted  in May, June, March and January  of the respective 
years with an amendment for the AWP 2015 to tackle the high influx of refugees in October 2015. The third health programme has 
been  implemented  as  foreseen  in  the  financial  programming.  The  AWP  2015  and  2016  considered  in  addition  to  the  President 
Juncker's priorities, the policy priorities specified in the Commissioner’s mandate letter.  AWPs 2015, 2016 and 2017 were adopted 
to make it possible to fund actions that address refugees' health as an immediate response and contribution of DG SANTE to the 
Commission's action to manage the high influx of refugees into EU Member States. 

Joint Actions on the basis of AWP 2017 are under negotiation with Member states authorities for the signing of grant agreements. 
These concern (a) health Inequalities, (b) Innovative  Partnership on  Action against Cancer, (c) vaccination, (d) preparedness and 
action  at  points  of  entry  (air,  maritime  and  ground  crossing),  (e)  actions    supporting  the  eHealth  Network,  and  (f)  on  Health 
Information  towards  a  sustainable  EU  health  information  system  that  supports  country  knowledge,  health  research  and  policy-
making. Most of these actions will start in the first half of 2018, for a duration of three years and will start delivering at least one 
and  a  half  year  after  the  signing  of  the  grant  agreement.  Since  2017  a  new  simplified  nomination  process  for  the  competent 
authorities  of  Member  States  wishing  to  participate  in  Joint  Actions  is  in  use.  The  number  of  signatory  parties  has  been  limited 
from 35 (average per joint action) in 2016  to 23 in 2017, while a large participation of affiliated entities (the average number has 
been increased from 5 per joint action in 2016 to 8 in 2017) subordinated to the national competent authorities is still possible. In 
addition to the flexibility gains and the reduction of administrative burden, this should lead to a better use of resources,  political 
endorsement of actions and effective up-take of the results.  The competent authorities of the Member States being at the centre of 
these  actions  can  achieve  a  better  and  quicker  transfer  of  knowledge  and  information  sharing  necessary  to  the  development  of 
policies at national level.  

The first ERNs were launched in March 2017, involving more than 900 highly-specialised healthcare units from over 300 hospitals 
in  26  EU  countries.  Following  a  call  for  a  Framework  Partnership  Agreement  23  European  Reference  Networks  previously 
approved by the Commission, received an annual grant for year 2017 for the coordination, management and non-clinical activities. 

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These  European  Reference  Networks  are  working  on  a  range  of  thematic  issues  including  bone  disorders,  childhood  cancer  and 
immunodeficiency.  

A call for a Framework Partnership Agreement with Non-Governmental Bodies  was launched in 2017. The aim of this call is to 
define the organisations that are active in health areas  closely linked to the programme objectives such as  prevention and health 
determinants;  chronic  diseases;  cancer;  dementia;  rare  diseases;  HIV/AIDS,  Tuberculosis,  Hepatitis;  access  to  healthcare; 
substances of human origin. It is expected that these non-governmental bodies will assist the Commission with the information and 
advice necessary for the development of health policies and the implementation of the Health Programme objectives and priorities. 
It is also expected that non-governmental bodies  will  work on increased  health literacy  and promotion of  healthy  life styles,  the 
organisation  of  science  policy  conferences  and  contribute  to  the  optimisation  of  healthcare  activities  and  practices  by  providing 
feedback from and facilitating communication with patients thus empowering them. The Commission also encourages these non-
governmental bodies to work together with the European Solidarity Corps, where appropriate. 

International cooperation is supported through the signature of five direct grants with (a) the Council of Europe for the European 
Pharmacopeia,    (b)  the  International  Office  on  Migration  for  the  implementation  of  the  Personal  Health  Record  as  a  tool  for 
integration of refugees in EU health systems, (c) the World Health Organisation (WHO) for the State of Health in the EU- Country 
knowledge, (d) with the Organisation for Economic Cooperation and Development (OECD) on the State of Health in the EU and 
(e) the  development of patient-reported measures,   while another three grants are under preparation  with (f) WHO related to the 
implementation of national action plans on  Antimicrobial  Resistance (AMR), and OECD (g) on  building trust and strengthening 
cooperation  for  addressing  the  challenges  of  access  to  medicines  and  (h)  on  Trends  and  Policies  affecting  the  international 
migration of doctors and nurses.  

Key achievements  

The below are examples of actions corresponding to main Commission priorities for (i) innovation and growth, (ii) migrants, (iii) 
preparedness and risk management, and (iv) relevant information in the framework of the EU semester. 

(i) The establishment of 24 European Reference Networks (ERNs):    

ERNs are virtual networks involving healthcare providers across Europe. They aim to tackle complex or rare medical diseases or 
conditions  that  require  highly  specialised  treatment  and  a  concentration  of  knowledge  and  resources.  To  review  a  patient’s 
diagnosis  and  treatment,  ERN  coordinators  will  convene  a  “virtual”  advisory  board  of  medical  specialists  across  different 
disciplines, using a dedicated IT platform and telemedicine tools. This way, it is the medical knowledge and expertise that travel 
rather than the patients, who have the comfort of staying in their supportive home environments.  

ERNs are expected to deliver a number of benefits over the medium and long-term: provide to 27-36 million persons, representing 
6-8%  of  the  overall  EU  population,  with  greater  access  to  high  quality  health  care  and  information,  accurate  diagnosis  and 
appropriate treatment. In this first phase (2016-2018), ERNs include 24 networks and 1000 clinics across the EU, most of them are 
set up for rare diseases. In the coming years the concept of ERNs could also cover other complex diseases such as more common 
cancers  or  specialised  paediatric  interventions  if  resources  are  made  available.  This  will  result  in  better  chances  for  patients  to 
receive an accurate diagnosis and advice on the best treatment for their specific condition.  
ERNs  are  not  directly  accessible  to  individual  patients.  However,  with  the  patients’  consent  and  in  accordance  with  the  rules  of 
their national health system, patient case can be referred to the relevant ERN member in their country by their healthcare provider. 
By pooling expertise and knowledge, ERNs are able to maximise the speed and scale with which innovations in medical science 
and  health  technologies  are  developed  and  put  into  use.  Economies  of  scale  can  be  achieved  by  connecting  existing  reference 
networks  found  in  individual  Member  States,  and  greater  efficiency  and  coordination  can  be  achieved  by  sharing  resources  and 
expertise  across  the  EU.  Reference  networks  are  also  ideal  environments  for  research  and  innovation  (clinical  trials,  patient 
registries, training of professionals). 

The first ERNs are up and running  since March 2017. The platform  was  set  up in November and  until  now 80 cases  have been 
handled.  Over  the  next  five  years,  as  the  ERNs  reach  full  capacity,  thousands  of  EU  patients  suffering  from  a  rare  or  complex 
condition can expect to benefit. In addition, several networks received co-funding to set up disease and patient registries, building 
on the clinical patient management system provided through the DG SANTE IT platform. This investment will need to be sustained 
over time. For more information please refer to https://ec.europa.eu/health/sites/health/files/ern/docs/2017_brochure_en.pdf 

For the establishment of the European Reference Networks, DG SANTE won the first EU Ombudsman Award for Good 
Administration.  See at: https://www.ombudsman.europa.eu/en/activities/eventdocument.faces/en/77458/html.bookmark 

(ii) Actions for migrants and refugees: 

The refugee crisis in 2015 and 2016 led to unexpected and considerable health issues and needs for refugees as well as challenges 
faced by the Member States health systems providing services to the population. The Health Programme responded to this crisis, 
with 11 actions  financed for  more than  €14 million aiming to increase awareness and commitment towards improving  maternal 
health and healthcare for refugees and migrant women; development and implementation of roadmaps and models for improving 
the  healthcare  access  of  vulnerable  migrants  and  refugees  in  Europe;  delivery  of  recommendations,  technical  guidance,  and 
trainings to health professionals and to the law enforcement officers working at local level with migrants/refugees. 

Guides  for  assessment  of  health  needs  of  migrants/refugees  were  produced,  as  well  as  country  profiles  and  guidelines  for  the 
development  of  action  plans.  Country  missions  to  Member  States  were  developed.  Health  assessments  have  been  performed:  In 

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2015, 4 275 health assessments have been done by the International Office for Migration - to which the Health Programme awarded 
a direct grant - and 8 938 assessments were done in 2016. Medically cleared migrants departed to 21 EU countries and three EFTA 
countries. 1 586 personal health records were completed, with 685 persons referred for additional medical diagnostics. In another 
project, 2 459 urgent individual health assessments were done with newly arrived migrants and 49 707 physical health assessments, 
1 775 mental health ones and 4 811 social consultations, 12 mobile teams were deployed in 9 countries. In a third project, 11 057 
medical examinations were performed in Italy. Protocols for age assessment into hotspots were developed, as well as a syndromic 
surveillance  system.  A  training  programme  for  health  professionals,  law  enforcement  officers  and  trainers,  on  migrants'  and 
refugees' health, addressing communicable diseases and mental health problems is currently under development, which is expected 
to deliver a full training package and train more than 2500 individuals of the above target groups across the whole of the EU.  

Actions co-funded under the AWP 2016 and having started in 2017 will promote a longer term perspective through mainstreaming 
migrant health within health systems a global approach dealing with health inequalities and other vulnerable social groups.  

(iii) Crisis preparedness and management: 

During the Ebola and Zika outbreaks, part of the funds of the programme were used to support interventions to limit the spread of 
these  threats  by  strengthening  Member  State  preparedness  and  response  in  particular  through  the  actions  of  the  Health  Security 
Committee  (entry  screening,  medical  evacuations,  prevention  of  transmission  in  transport  and  hospital  settings).  The  budget  in 
2014-2017 for strengthening EU response to health threats amounted to 18 million EUR. The Health Programme is also playing a 
crucial  role  in  addressing  Antimicrobial  Resistance  (AMR),  by  defining  common  approaches  to  fight  AMR  and  to  control 
healthcare-associated  infections  in  line  with  ongoing  EU  and  international  policies.  In  addition,  an  important  Joint  Action  on 
Vaccination is currently being finalized. 

(iv) State of Health in the EU and Country Profiles: 

On  23  November  2017,  the  Commission  published  the  28  Country  Health  Profiles  along  with  the  Commission  Companion 
Report377.  The  Country  Health  Profiles  were  prepared  in  cooperation  with  the  OECD  and  the  European  Observatory  on  Health 
Systems and Policies with funding provided under the Health Programme. The reports provide an in-depth analysis of EU Member 
States'  health  systems.  They  look  at  the  health  of  the  population  and  important  risk  factors,  as  well  as  at  the  effectiveness, 
accessibility  and  resilience  of  health  systems  in  each  EU  member  state.  The  reports  clearly  reflect  shared  objectives  across  the 
Member States, and reveal potential areas where the Commission can encourage mutual learning and exchange of good practices. 

Legislative and fixed costs: 

The programme also provides the resources for implementing the EU's political commitments and legal obligations in health (e.g. 
implementation of the tobacco legislation, the EU regulatory framework for medicinal products and medical devices, for substance 
of  human  origin,  and  cross  border  health  care).  It  also  supports  Member  States'  implementation  of  this  legislation  through  the 
development of common tools, such as networks, IT platforms, guidance and sharing of best practices. 

The specifications for the forthcoming tobacco tracking and tracing system; the functioning of the independent advisory panel on 
characterizing  flavours  in  tobacco  products;  or  the  collaboration  with  the  Council  of  Europe's  EDQM  on  the  quality  control  of 
medicines are important examples of the health programme support in implementing EU legislation.  

The development and maintenance of these tools is essential in order to ensure the smooth operation of the Internal Market in these 
sectors. It is estimated that in the years 2014-2016, 30% of the overall annual budget of the Programme was dedicated to standard 
obligations,  while  in  2017  this  percentage  is  estimated  at  37,7%,:  2,7  million  EUR  on  medical  devices  legislation    (including 
EUDAMED development and maintenance, meetings of the Medical Device Coordination Group (MDCG) and its subgroups and 
translations,  info  campaigns  and  publications  on  Medical  Devices)  and  4,4  million  EUR  on  medicinal  products,  including  the 
Direct Grant with the Council of Europe on European Pharmacopeia of 3,3 million EUR (for the period 2017-2019) 

Other actions under this category that are worth mentioning are:  

The Health Award  
Three Presidency Conferences: two in Malta and one in Estonia. Malta held the "Childhood Obesity: Halting the Rise" on 22nd and 
23rd  February  and  "Structured  cooperation  between  Health  Systems  Enhancing  access  to  novel  or  highly  specialised  services, 
medicines  and  technologies"  on  1st  and  2nd  March  2017,  both  in  Sliema.  Estonia  held  the  "Tallinn  Digital  Summit  on  29 
September 2017. 

The Scientific Committees' adoption of 10 opinions on Consumer Safety (cosmetic ingredients, hair dyes, nanomaterials)378 and 8 
on  Health,  Environmental  and  Emerging  Risks  (medical  devices,  non-animal  testing,  physical  risks,  public  health,  rapid  risk 
assessment, toys and water quality)379. 

A key achievement was the piloting of the EU cooperation on Health Technology Assessment. This has proven successful and lead 
to the drafting of a legislative proposal to strengthen the EU cooperation on Health Technology Assessment which was adopted  by 
impact  assessment  and  other  documents  are  available  on:  
the  European  Commission  on  31  January  2018.  The 
https://ec.europa.eu/health/technology_assessment/eu_cooperation_en. 

377 https://ec.europa.eu/health/state/summary_en 
378 A detailed list can be found in https://ec.europa.eu/health/scientific_committees/consumer_safety/opinions_en#fragment2 
379 A detailed list can be found in https://ec.europa.eu/health/scientific_committees/scheer/opinions_en#fragment2 

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Evaluations/studies conducted 

A Commission Report to the European Parliament and to the Council has communicated the conclusions of the mid-term review of 
the  3rd  Health  Programme  on  11  October  2017,  together  with  a  Staff  Working  Document  and  the  deliverables  of  the  external 
evaluation study. See at https://ec.europa.eu/health/programme/policy/2014-2020/midterm_evaluation_en. 

The evaluation concluded that all 23 thematic priorities still remain  valid, and the funded actions have produced or are producing 
important outcomes with high EU-added value, serving the programme objectives and contributing to major Commission priorities 
and international initiatives. 

Simplification measures that have been taken by introducing electronic tools to submit proposals and manage grants, by simplifying 
evaluations and by simplifying financial rules and administrative procedures show efficiency gains. 

The new programme design takes a more strategic view of a mid-term perspective and has demonstrated its value as an effective 
and flexible management tool capable of covering unforeseeable needs (refugees’ crisis). Progress indicators have been introduced 
but there is still a need for continued efforts to improve the monitoring, reporting and dissemination of results. 

The  exceptional  utility  criteria  for  attracting  participation  from  low  gross  national  income  (GNI)  countries  have  not  been 
sufficiently effective so far. However, despite the difficult economic context and the significant barrier of assuring the remaining 
co-financing,  the  Programme  is  still  attracting  a  similar  level  of  participation  from  low  GNI  countries  as  in  the  previous 
programme. 

For the remaining programming period, the Programme should remain focused, strengthen efforts to achieve EU-added value and 
increase synergies and ensure the upscale significant results through cooperation with other EU financial instruments. 
The results of the ex-post evaluation of the 2nd Health Programme 2008-2013 have been communicated to the European Parliament 
and to the Council on 10 May 2016. See at http://ec.europa.eu/health/programme/policy/2008-2013/evaluation_en. An Action Plan 
on the basis of the recommendations of this evaluation  has been adopted and is being implemented taking into account also the 
new recommendations of the mid-term evaluation. 

An external evaluation of the EC Action Plan (2011-2015) on Antimicrobial Resistance was conducted and delivered its results in 
in 2016. See at http://www.rand.org/randeurope/research/projects/eu-action-plan-against-amr.html 
The 
of 
final 
http://ec.europa.eu/dgs/health_food-safety/amr/docs/amr_evaluation_2011-16_evaluation-action-plan.pdf 

recommendations 

in  SWD(2016) 

24  October 

summarised 

findings 

2016 

347 

and 

are 

Forthcoming implementation (2018-2019)  

The implementation is guided by a multi-annual planning, which has been updated in 2016 and is being validated in order to ensure 
a significant contribution of all actions co-funded under the Health Programme to at least one of the 10 priorities of the European 
Commission, in particular in contributing to creating jobs, growth and investment, to a deeper and fairer internal market and the 
priority  on  migration.  The  future  implementation,  especially  in  2018/2019,  will  take  into  account  both  the  recommendations 
stemming  from  the  ex-post  evaluation  of  the  2nd  Health  Programme  2008-2013,  as  well  as  those  resulting  from  the  mid-term 
evaluation  of  the  3rd  Health  programme,  namely:  improving  the  monitoring  of  the  programme  and  ensuring  a  more  pro-active 
dissemination of the results, as well as promoting better cross-Commission collaboration. 

The AWP 2018 was adopted on 13 December 2017. It includes among others:  

 

several  grants  for  projects  on  (a)  the  implementation  of  best  practices  –  promotion  of  good  health,  prevention  of  non-
communicable diseases and scaling up integrated care  (b) supporting Member States voluntary cooperation in the area of 
pricing through the Euripid Collaboration (c) on Orpha codes  

 

 
 

  multiannual (2018-2020) specific grant agreements for European Reference Networks 
 

a  joint  action  co-financed  with  Member  States  authorities  to  strengthen  preparedness  in  the  EU  against  serious  cross-
border threats to health and support implementation of International Health Regulations 
direct  grant  agreements  with  international  organisations  such  as  the  OECD  for  selection  and  implementation  of  best 
practices to promote health and prevent and manage non-communicable diseases, the framework Convention on Tobacco 
Control with the WHO/FCTC, and also a direct grant with the Council of Europe — European Directorate for the Quality 
of Medicines and Healthcare (EDQM) for the substances of human origin. . 
a direct grant to be negotiated with Orphanet. 
a number of service contracts to be concluded, most of them on the basis of existing framework contracts, for supporting 
Member States in reducing alcohol related harm, workshops to support the implementation of Decision 1082/2013/EU on 
serious cross border health threats, simulation exercises (one table top and one command post), training seminar, and also 
studies related to the support of the EU health legislation, translations, info campaigns, publications etc related to medical 
devices  as  well  as  for  communication  and  information  technologies  (e.g.  EUDAMED,  the  European  medical  devices 
database for the new Regulations on medical devices and in vitro diagnostic medical devices) 

  Other actions covering the opinions of the  Scientific Committees and provision of targeted risk assessment  in case  of a 
chemical or environmental incident of cross-border relevance, the special indemnities for experts in different groups and 
sub-groups for medical device coordination, expert Panel on effective ways of investing in health, etc,  sub-delegation to 
Eurostat, administrative agreement with JRC, and annual membership fee to the European Observatory on Health Policies 
and Systems. 

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III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 282/2014 of the European Parliament and of the Council of 11 March 2014 
on  the  establishment  of  a  third  Programme  for  the  Union's  action  in  the  field  of  health  (2014-
2020) and repealing Decision No 1350/2007/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

449,4 

2014 

2015 

2016 

2017 

2018 

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2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

1,5 
52,9 
4,2 
58,6 

1,5 
54,0 
4,2 
59,8 

2017 

1,5 
56,5 
4,2 
62,2 

1,5 
58,8 
4,2 
64,5 

1,5 
60,5 
4,4 
66,4 

1,5 
64,0 
4,2 
69,7 

1,5 
62,3 
4,6 
68,3 

2018 

Total 
Programme 
10,5 
408,9 
30,0 
449,4 

Voted appropriations 

CA 
64,529 

Impl. Rate 
100,00 % 

PA 
49,387 

Impl. Rate 
97,85 % 

CA 
66,374 

Impl. Rate 
70,11 % 

PA 
53,296 

Impl. Rate 
11,21 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

97,17 % 

68,43 % 

11,50 % 

99,65 % 

68,153 

52,130 

55,837 

66,356 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
88% of the planned actions are contributing either to smart or to inclusive growth 

Gender mainstreaming 
DG SANTE has developed a questionnaire for all beneficiaries to be completed at the time of the interim and final report, operating 
grant recipients will only provide a final report and complete the questionnaire then. One question targets gender mainstreaming 
and  how  it  was  performed  in  the  actions.  DG  SANTE  can  already  report  on  the  first  data  from  the  beneficiaries/reports  for  the 
operating grants (budget of €4.6 million), whereas information from project grants and Joint Actions will only be available later. As 
regards the operating grants, the first replies from recipients indicate that on average an amount of about 2% of their budget, i.e. 
EUR 86 000, is spent to finance activities targeting the gender issue related to health 

4. Performance information 

General objectives 

General Objective 1: to complement, support and add value to the policies of the Member States to improve the health  of Union 
citizens and reduce health inequalities by promoting health, encouraging innovation in health, increasing the sustainability of health 
systems and protecting Union citizens from serious cross- border health threats 
Indicator 1: Number of Healthy Life Years at birth 

Baseline 2010 
 (data 2012) 

Men: 61,9 (61,5) 
Women: 62,7 (62,1) 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 

Men: 62.6 
Source: Eurostat 
Women: 63.3 
Data for 2017 will be made available by Eurostat in May 2019, and for year 2018 in May 2020, and so on.  

Men: 61,4 
Women: 61,8 

Update not 
available 

Update not 
available 

Target 2020 

Increase by 2 years 

Specific objectives 

Specific Objective 1: identify, disseminate and promote the uptake of evidence-based and good practices for cost-effective health 
promotion  and  disease  prevention  measures  by  addressing  in  particular  the  key  lifestyle  related  risk  factors  with  a  focus  on  the 
Union added value 
Indicator  1: number  of  Member  States  involved  in  health  promotion  and  disease  prevention,  using  evidence-based  and  good 
practices through measures and actions taken at the appropriate level in Member States 

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Baseline 
2012 

MS having a national initiative on 
reduction of saturated fat: 12. 

2014 

16 MS 

2015 

Milestones foreseen 
2017 
2016 

18 MS 

20 MS 

22 MS 

2018 

24 MS 

2019 

25 MS 

MS in which the European 
accreditation scheme for breast 
cancer services is implemented – 
establishment of the scheme: 0 

21 MS 

21 MS (fat) 

21 (fat) 

22* (fat) 

10MS 

Actual results 

Target 2020 

28 MS 

28 MS 

0 (cancer) 
Note: the guidelines on breast cancer services were published in july 2017. * plus 3 announced in 2017 but not approved by the end of the year. 

15 (cancer) 

0 (cancer) 

0 (cancer) 

Expenditure related outputs 

Budget 
line 
number of actions granted that plan to deliver validated best practices for cost effective prevention measures  17 03 01 
17 03 01 
number of grants and contracts provided contributing to promoting health and fostering supportive 
environments 
Total 

Outputs 

3 

9 

12 

Draft Budget 2019 
Number  EUR million 

Outputs 

number of actions granted that plan to deliver 
validated best practices for cost effective 
prevention measures 

2014 

F  4 
4 

P 

number of grants and contracts provided 
contributing to promoting health and fostering 
supportive environments 

F  35 
35 

P 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2019 

2015 

5 
5 

25 
23 

3 
9 

14 
20 

11 

5 

5 

30 

20 

22 

12 
9 (all the 
actions below 
contribute 
with 
evidence-
based 
interventions) 
19 
9 (4 SC +  2 
x JA on 
Health 
inequalities 
and on 
Cancer + 3 
Direct grant 
to IGOs) 

15.8 

3.68 

19.48 

2020 

Justification of changes to the financial programming and/or to the performance information 
The intention for years after 2018 is to have a limited number of grants, e.g. Joint Action for implementation of best practices on 
chronic diseases in large scale by Member States needing a bigger budget. 

Specific  Objective  2: identify  and  develop  coherent  approaches  and  promote  their  implementation  for  better  preparedness  and 
coordination in health emergencies 
Indicator 1: number of Member States integrating coherent approaches in the design of their preparedness plans 

Baseline 
2013 

0 MS 

2014 
0 MS 

2015 
4 MS 

2016 
18 MS 

2017 
20 MS 

2018 
22 MS 

2019 
24 MS 

Milestones foreseen 

0 

16 MS 

16 MS 

16MS 

Actual results 

Target 2020 

28 MS 

Actual  results  on  the  indicators are  expected  to  be  available  after  the  next  reporting  exercise  by  Member  States  on  preparedness  and  response 
planning under Article 4 of Decision 1082/2013/EU.  In the meanwhile, we reiterate the same number of MS as the minimum indication.  

Expenditure related outputs 

Outputs 

number of grants and contracts provided to protect citizens from serious cross-border health treats 
Total 

Budget line 

17 03 01 

Draft Budget 2019 

Number 
3 
3 

EUR million 
1.67 
1.67 

Outputs 

number  of  grants  and  contracts  provided  to  protect 
citizens from serious cross-border health treats 

2014 

F  4 
P  4 

7 
7 

Number of outputs foreseen (F) and produced (P) 
2019 

2017 

2016 

2018 

2015 

4 
5 

6 
6 

5 

5 

5 

2020 

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Justification of changes to the financial programming and/or to the performance information 

As from the AWP 2017, adopted on 26 Jan 2017. 
Specific Objective 3: identify and develop tools and mechanisms at Union level to address shortages of resources, both human and 
financial, and to facilitate the voluntary uptake of innovations in public health intervention and prevention strategies 
Indicator 1: advice produced and the number of Member States using the tools and mechanisms identified in order to contribute to 
effective results in their health systems 

Baseline 
2012 
Advice produced, in particular the  
number of Health Technology 
Assessments produced per year: 2 

Number of Member States using the 
tools and mechanisms identified in 
order to contribute to effective results 
in their health systems: patient 
summaries data/ ePrescription in line 
with the EU guidelines. 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

11 

6 

12* 

18* 

22* 

29* 

5 MS 

9 MS 

8 MS 

10 MS 

12 MS 

Actual results 

6 HTA 

9  HTA 

0  HTA 

0 HTA 

0 MS 

5 MS 

10 MS 

9** MS 

Target 2020 

50 annually 

18 MS*** 

* Still under discussion between the Member States and the Commission 
* * Change of indicator calculation: 2015-2016 = reported capacity to join, 2017 = reported capacity and intention to join as soon as possible (the 
next wave of countries joining. *** Target updated from 28 to 18.  

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

number of grants and contracts to address shortages of resources, both human and financial, and to 
facilitate the voluntary uptake of innovations in public health intervention and prevention strategies  
Others of horizontal nature  
Total 

17 03 01 

17 03 01 

16 

7 
23 

Outputs 

number  of  grants  and  contracts  provided 
concerning obj. 3 

2014 

F  19 
P  19 

Number of outputs foreseen (F) and produced (P) 
2017 

2018 

2016 

2015 

2019 

16 
11 

11 
13 

26 
Calls are on 
going 

19 

40 

50 

13.34 

8.84 
22.18 

2020 

Specific  Objective  4: increase  access  to  medical  expertise  and  information  for  specific  conditions  beyond  national  borders, 
facilitate the application of the results of research and develop tools for the improvement of healthcare quality and patient safety 
Indicator 1: number of European reference networks established in accordance with Directive 2011/24/EU 

Baseline 

0 

2014 
0 

0 

2015 
0 

0 

Milestones foreseen 

2016 
10 
Actual results 
23 

2017 
24 

24 

2018 
24 

2019 
24 

Target 2020 

30* 

Networks can only be formally established as provided in Commission Implementing Decision 2014/287/EU setting out criteria for establishing 
and evaluating European Reference Networks and their Members. The implementing decision was adopted later than forecasted in 2013 (when the 
goals where defined in the Health programme) and therefore the milestones and goals should be adapted to reality.  The establishment of ERNs is 
a complex procedure which involves several steps and tools. The first call for ERN has been launched in the second half of 2016. The result is 24 
ERNs established, of which 23 are supported by the Health Programme. A second call for additional interest is foreseen in 2019 and following to 
this, the number of ERNs is expected to increase to 30. 
* Target reduced from 33 to 30 based on the SANTE strategic plan 2016-2020. 
Indicator 2: number of healthcare providers and centres of expertise joining European reference networks 

Baseline 

0 

2014 
0 

0 

2015 
0 

0 

Milestones foreseen 

2016 
120 
Actual results 
936 

2017 
936 

956 

2018 
1136 

2019 
1342 

Target 2020 

1450 

A yearly call for membership to join the approved Networks will be launched from 2017 on. That will imply a yearly increase in the number of 
health care providers and centres of expertise joining European Reference networks. 
Indicator 3: number of Member States using the tools developed 

Baseline 

0 

2014 
0 

0 

2015 
0 

0 

Milestones foreseen 

2016 
0 
Actual results 
0 

2017 
18 

0 

Tools will be only developed once the networks are in place i.e. from 2017 onwards. 

2018 
20 

2019 
24 

Target 2020 

28 

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Expenditure related outputs 

Outputs 

Budget line 

number of functioning European Reference Networks 
number of grants and contracts to facilitate access to better and safer healthcare for Union citizens 
Total 
* this is the number of actions to facilitate access to better and safer healthcare for Union citizens financed for the Draft Budg 2019. The number 
of functioning ERNs is independent from this total. 

17 03 01 
17 03 01 

Draft Budget 2019 

Number 
24 
7* 
31 

EUR million 
9.5 
9 
18.5 

Outputs 

number of functioning European Reference 
Networks 
number of grants and contracts to facilitate 
access to better and safer healthcare for Union 
citizens 

F 
P 
F 

P 

Number of outputs foreseen (F) and produced (P) 

2014 
0 
0 
9 
9 

2015 
0 
0 
10 
10 

2016 
15 
0 
22 
32 

2017 
15 
24 
30 
25 (23 ERNs + JA on 
AMR + assessment of 
ERN HCP) 

2018  2019 
24 

30 

2020 
30 

30 

40 

40 

Justification of changes to the financial programming and/or to the performance information 

The unexpected success of ERNs in 2016 results in the revision output indicators concerning the number of functioning ERNs and 
the corresponding number of Grants and Contracts under Objective 4. 

5. Programme contribution to the Sustainable Development Goals 

SDG 3. Ensure healthy lives and promote well-being for all at all ages. 

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HEADING 3: Security and citizenship 

Consumer Programme 
Lead DG: JUST 

I. Programme Overview 

What the programme is about ? 

The Consumer Programme supports the EU consumer policy. It aims to help citizens fully enjoy their consumer rights and actively 
participate  in  the  Single  Market,  thus  supporting  growth,  innovation  and  meeting  the  objectives  of  Europe  2020. The  Consumer 
Programme 2014-2020 focuses on four key areas: 

• 
• 

• 

• 

a single market of safe products for the benefit of citizens and as a component of competitive businesses and traders; 
a single market where citizens are well represented by professional consumer organisations whose capacity is built to meet 
the challenges of today's economic environment; 
a  market  where  citizens  are  aware  and  exercise  their  rights  as  consumers  so  that  they  contribute  to  the  growth  of 
competitive markets; citizens must enjoy access to redress mechanisms in case of problems without needing to resort to 
court procedures which are lengthy and costly for them and the governments; 
a concrete and effective collaboration between national bodies to support the enforcement of consumer rights, and support 
the consumers with advice. 

EU added value of the programme 

The  main  actions  implemented  through  the  Consumer  Programme  are  aimed  to  supporting  the  objectives  of  the  Consumer 
protection  where  they  cannot  be  sufficiently  achieved  by  the  Member  States,  in  particular  due  to  the  cross-border  nature  of  the 
issues involved. This is achieved by actions in 4 specific objectives: 

Safety: to consolidate and enhance product safety  

I. 
Ensuring  that  products  circulating  on  the  internal  market,  including  online,  are  safe  for  consumers  is  a  basic  objective  for  EU 
consumer policy and contributes to the Juncker Commission's priority for a Deeper and Fairer Internal Market with a Strengthened 
Industrial  Base.  This  objective  is  supported  by  EU  legislation  with  general  requirements  for  safe  products  and  for  market 
surveillance by the Member States. Consumers need to be confident that unsafe products have no place on the EU market and that 
the  relevant  rules  are  effectively  and  efficiently  enforced,  both  domestically  and  cross-border.  This  is  why  EU  supports  a 
coordinated and coherent approach to the enforcement of safety and market surveillance rules across the EU.  

Consumer information and education and support to consumer organisations  

II. 
Developing  modern evidence on how  markets  work  for consumers and businesses  – notably through the  Consumer Markets and 
Consumer  Conditions  Scoreboards  –  helps  Member  States  to  identify  areas  where  the  EU  is  not  delivering  fully  for  the  internal 
market,  and  contributes  to  better  policy  making.  Collecting  such  evidence  at  EU  level  ensures  methodological  consistency  and 
comparability across time and countries, allowing Member States to benchmark the consumer outcomes of their policies. 

Enhancing  knowledge  also  entails  making  sure  that  consumers  are  informed  of  their  rights,  supporting  consumer  education,  and 
building the  capacity of consumer organisations, especially in Member States  with  weaker consumer cultures (NB. local courses 
organised in Member States are given the national language). Both the capacity building and the consumer education actions target 
EU-wide audiences with a view of sharing best EU wide practice. 

Rights and redress: to develop and reinforce consumer rights  

III. 
Enforcement efforts seek to ensure that citizens feel adequately protected from unsafe products and unfair commercial practices, 
and  that  businesses  and  industry  can  operate  in  open  and  fair  markets.  EU  consumer  policy  also  aims  to  boost  consumers  and 
traders trust by giving them access to more efficient and cost-effective means of out of court redress, notably through alternative 
dispute resolution (ADR) and online dispute resolution (ODR) mechanisms. 

Enforcement: to support enforcement of consumer rights 

IV. 
Stepping  up  enforcement  of  the  EU  consumer  acquis  through  the  revision  of  the  Consumer  Protection  Cooperation  (CPC) 
Regulation is one of the objectives of the Digital Single Market strategy. The CPC network has an important role in this respect as 
it  allows  Member  State  authorities  to  cooperate  and  tackle  infringements  with  a  cross-border  dimension.  For  widespread 
infringements such as concerning internet platforms or big market players, it is more efficient and effective to pool resources and 
coordinate  enforcement  action  at  EU  level.  The  Consumer  Programme  supports  these  coordinated  actions  as  well  as  the  pre-
requisite  building  of  capacity  and  joint  expertise  in  investigation  and  enforcement,  for  instance  to  raise  digital  investigations 
knowledge and standards in Member State authorities to ensure an equal level of enforcement through the Single Market. 

The  role  of  the  European  Consumer  Centres  (ECCs)  is  also  relevant  in  this  respect;  it  contributes  towards  the  governance  and 
performance of the Single  Market and helps the European consumers to get the redress they deserve  when purchasing abroad or 
while  travelling.  ECCs  act  as  a  consumer  rights  information  service  for  the  citizens  and  are  an  important  component  of  the 
Consumer Programme. They also play the role of consumers' advocates in trying to get a settlement in cross-border trade issues and 

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contribute to the promotion the use of the Alternative Dispute Resolution. Many ECCs also serve as the Online Dispute Resolution 
(ODR) contact points. 

II. Programme Update 

Implementation Status (2014-2017) 

The  implementation  of  the  Consumer  Programme  2014  –  2020  is  well  on  track  to  meet  its  multiannual  objectives.  Most  of  the 
related performance indicators expected for 2014, 2015, 2016 and 2017 have been achieved.  

The  2014  and  2015  annual  work  programmes,  with  a  budget  of  respectively  EUR  21.9  million  and  EUR  22,5  million,  were 
executed according to the planning, with a final rate of implementation of respectively 98,3% and 99%.   

By the end of 2017, 99% of the operational budget of EUR 23.7 million allocated for the implementation of the 2016 annual work 
programme had been consumed and translated into legal commitments. 

In January 2018 the implementation of the 2017 annual work programme (24.7 million EUR) reached 61%. Global commitments 
for the remaining already-defined actions (legal commitments to be concluded during the first half of 2018) were done at the end of 
2017.  

Compared  with  its  predecessor,  the  2014-2020  programme  brought  important  improvements,  in  particular  the  simplification  of 
grants  for  the  European  Consumer  Centres  (based  on  multiannual  strategic  partnerships),  and  of  the  system  for  exchange  of 
enforcement officials (indemnities instead of grants). 

Key achievements 

Safety: to consolidate and enhance product safety  

I. 
Rapid Alert System (RAPEX) The Rapid Alert System for dangerous non-food products (RAPEX), which was set up in 2003, has 
continued during the last years to facilitate the exchange of information between Member States and the Commission on measures 
taken against dangerous products. Cooperation between national authorities has significantly increased over time, as mirrored by an 
increase of the feedback ratio of reports of other authorities to "serious risk" notifications from 0,90 in 2013 to 1,66 in 2017. The 
number of notifications has now stabilized at a regular rate with just over 2.000 per year. In 2017 alone, a total of 2.201 alerts were 
circulated.  Taking  into  account  global  trade,  further  developing  online  shopping,  as  well  as  more  and  more  direct  sales  to  EU 
consumers from traders of third countries, the European Commission and national authorities collaborating through the Rapid Alert 
System are also working closely with large international markets to exchange information and to increase cooperation, including at 
the level of online platforms. 

Consumer information and education and support to consumer organisations  

II. 
Initiatives such as the 2014-2015 EU Consumer Awareness Campaigns have contributed to improving the awareness of consumers 
and  retailers  of  their  rights  and  obligations.  The  Commission  also  ran  an  awareness-raising  campaign  on  consumer  rights  in 
Croatia,  following  the  local  training  courses  of  the  capacity  building  programmes  "Consumer  Champion"  and  "Consumer 
Classroom", in close collaboration with national stakeholders. 

Some key facts and figures of the Consumer Champion until the end of 2017: 

  Site visitors – 40.066 since its launch in December 2014 
  Registered members– 1587  
  Highest  number  of  registered  users  in  countries  where  local  courses  are  organised  (177  from  Poland  and  Romania)  – 

training courses bring traffic to the platform. 
976 online course users' access  

 
  Consumer law online course users' access – 486  
  Energy online course users' access – 114 ; (52 in Dec 2016) 
  Financial services online course users' access – 90; (37 in Dec 2016) 
  Online course users' access – 83; (32 in Dec 2016)  
  Online course users' access – 102; (49 in Dec 2016) 
  Online course users' access – 101; (45 in Dec 2016) 

Some key facts and figures of the Consumer Classroom until the end of 2017: 

223 ready-to-use teaching resources collected from across the EU and evaluated by our network of national focal points; 

  Unique users – 277,241 
  Registered users (teachers, experts, basic users) –  25,048 out of which 6,721 teachers 
 
  Teaching resources (lessons created by users) 544 
 
  Website sessions 395,818 

78 partnerships built across Europe with consumer organisations, school associations and other interested NGOs 

Rights and redress: to develop and reinforce consumer rights  

III. 
platform: 
platform  The  EU-wide  Online  Dispute  Resolution 
Online  Dispute  Resolution 
ec.europa.eu/consumers/odr)  is  a  tool  that  could  not  have  been  developed  at  national  level.  The  platform  became  operational  in 

platform 

(ODR 

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February 2016. It enables consumers and traders to settle their online disputes about domestic and cross-border online purchases 
without going to court. The platform is designed to boost people’s trust in online shopping, thus contributing to the EU’s Digital 
Single Market Strategy. 347 Alternative Dispute Resolution (ADR) entities from 28 EU and EFTA countries and 30 ODR contact 
points were available on the ODR platform in December 2017. Since the launch of the platform, over 55 000 consumers decided to 
lodge a complaint and, according to a survey, 44% of complaints submitted to the platform result in the direct settlement between 
the consumer and the trader.  

The Commission ran three awareness-raising campaigns on the ODR platform, two in2016 and one in 2017. The results achieved 
during these campaigns exceed by far the expected results: 4,1 million people visited the ODR platform since 15 February 2016 and 
spent on average more than one minute on it.   

Enforcement: to support enforcement of consumer rights 

IV. 
Support for the  Consumer Protection Cooperation Regulation   Actions aimed at strengthening the knowledge base and review 
process of the  Consumer Protection  Cooperation Regulation (the  CPC  Regulation). Joint actions  with  Member  States  authorities 
enhanced  administrative  cooperation  for  the  application  and  enforcement  of  product  safety  legislation  (General  Product  Safety 
Directive  –  GPSD)  across  the  internal  market.  In  2016,  the  Commission  proposed  a  revision  of  the  CPC  Regulation  to  bring 
enforcement  of  European  consumer  laws  and  protection  of  European  consumers  up  to  speed  with  the  online  world.  Consumer 
authorities will have new powers to act faster against bad online practices containing scams. In particular, new procedures triggered 
at  the  Union  level  by  the  Commission  will  permit  closer  coordination  of  enforcement  actions  when  harmful  practices  concern  a 
large majority of European consumers. The reformed CPC Regulation (Regulation 2017/2397) was adopted and published on 27th 
December 2017, its provisions will be applicable from 17th January 2020. 

Interactive knowledge-exchange platforms were set-up for national CPC and product safety authorities to foster rapid exchange of 
information, support collective working on joint enforcement actions and disseminate training and best-practice materials. The E-
enforcement Academy platform, set up in early 2017, gathers already 158 officials belonging to the CPC Network. The platform is 
also open to the Consumer Safety Networks officials (CSN) of which 131 have adhered. CPC and CSN registered members receive 
updates news on a daily basis, bi-weekly ad-hoc knowledge through coaching and advanced webinars while, on a quarterly basis, 
they can attend master classes. A total of 36 participants attended 3 different master classes in 2017.  

There has been a sustained increasing number of exchanges of product safety enforcement officials (19 in 2014, 31 in 2015, 20 in 
2016, 55 in 2017) and for CPC officials (40 in 2014 to 55 in 2015, 72 in 2016). In 2017, a decrease is observed: the number o f 
participants reached 33 because of several initiatives providing for collective missions and workshops. 

The cooperation between CPC authorities was reinforced through Sweep 2015 on Consumer Rights Directive (CRD) after the entry 
into force of the Directive in June 2014. The EU Member States' authorities checked in total 743 websites being the largest sweep 
conducted so far. Irregularities were confirmed in 436 cases (63%). In October 2016, 353 out of 436 websites were corrected, while 
national administrative or legal proceedings continue for the 83 websites which are still not compliant. 

The  CPC  network's  2016  sweep  focused  on  misleading  travel  booking  websites  and  was  launched  in  October  2016.  The  CPC 
authorities  of  28  countries  (26  EU  countries,  Norway  and  Iceland)  checked  a  total  352  websites  comparing  offers  and  prices, 
mainly in the travel sector.  

Out of the total number of websites, 23.6% compared accommodation prices, 21.3% compared tickets prices (air, boat, train, bus), 
5.1% compared car rental prices, whilst 44.6% offered a combined comparison of products and services (tickets, accommodation, 
holiday packages, etc.). The screening revealed a series of irregularities in online comparison tools. They found that prices were not 
reliable on 235 websites, two thirds of the sites checked. For example, additional price elements were added at a late stage of the 
booking process without clearly informing the consumer or promotional prices did not correspond to any available service. 

Authorities have asked the websites concerned to bring their practices in line with EU consumer legislation, which requires them to 
be fully transparent about prices, and present their offers in a clear way, at an early stage of the booking process. Detailed results of 
the screening can be found online.  

Financial support to bodies constituting the European Consumer Centres Network (ECC-Net) – EUR 6 million/year 

The  ECC-Net  helps  consumers  with  cross-border  purchases,  explaining  their  rights  when  shopping  internationally  and,  where 
necessary,  helping  them  seek  redress  against  a  trader  in  another  EU  country,  Iceland  or  Norway.  In  2014 ECC-Net  developed  a 
"Travel App" to help consumers exercise their rights while on holiday abroad. The ECC-Net IT Tool registered approximately 100 
000 contacts with consumers per year.  

The  initial  2020  target  for  the  implementation  of  the  2010  Commission  Recommendation  on  harmonising  the  registration  of 
consumer complaints – in terms of the number of complaints handling bodies/countries submitting harmonised complaints data  – 
was achieved early, in 2015, and the targets were revised upwards at that time. The number of participating countries continued to 
grow and by end 2016, 77 consumer organisations from 23 EU Member States and 1 EEA country (Norway) had sent harmonised 
complaints data to the Commission (around half of them on regular basis), bringing the total number of records in the harmonised 
database to over 4.6 million. In 2017, however, the situation of the project – in particular the development and maintenance of the 
harmonised database – was re-assessed in view of competing priorities and resource limitations, in a context where its continuation 
in the medium and longer term was conditional of major upgrades in the underlying IT system. The development of the project was 
therefore  put  on  hold  and  a  consultation  with  the  relevant  stakeholders  initiated  on  the  options  for  the  future.  After  an  initial 

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discussion  with  the  Member  States'  representatives  at  the  Consumer  Policy  Network  in  June,  an  in-depth  consultation  with  the 
Consumer  Complaints  Expert  Group  was  carried  out  in  autumn,  with  a  final  decision  to  be  taken  in  2018.  While  the  number  of 
organisations sending harmonised data did not increase during this period (as the project was on hold), the number of harmonised 
records  reached  6.15  million  by  end  2017  based  on  contributions  from  complaint  handling  bodies  already  in  the  harmonised 
system.  

Evaluations/Studies conducted 

Evaluation of the operating grant to the EU-level consumer organisation 

The  evaluation  of  the  operating  grant  to  the  EU-level  organisation  BEUC  (“Bureau  Européen  des  Unions  de  Consommateurs”) 
concluded that co-financing this organisation ensured value for money for the promotion, defence and representation of European 
consumers’ interests at EU level and that this organisation made a significant contribution to EU policy making, in line with the 
Programme objective II which includes support to consumer organisations. 

The evaluation  found that BEUC played an important role in coordinating and ensuring  coherent consumer organisation input at 
EU level and in promoting dialogue between the different stakeholders. Without EU funding, BEUC’s effectiveness – the scale and 
quality  of  its  outputs  and  impact  -  would  have  been  less  significant.  BEUC  has  developed  recognised  expertise  and  undertook 
various  activities  (e.g.  position  papers,  submissions  to  hearings,  participation  in  various  working  groups  etc.),  most  of  which 
considered by relevant external stakeholders (members of the European Parliament, staff members of Permanent Representations to 
the EU, detached national experts and staff of Council’s secretariat, business representatives) to be of very high quality. In 2017, 
the EU operating grant to BEUC, awarded under the 3-year Framework Partnership, was increased from 1 400 000 EUR to 1 750 
000 EUR per year. 

Legal  support  studies  In  order  to  strengthen  evidence-base  for  further  action  including  the  legislative  one,  the  results  of  several 
studies were published in 2017: 

 

 
 

 

 

 

 

•the 2nd Electricity Market Study on the functioning of electricity market in the EU  which assessed how market performance 
was developed and the extent to which consumers have the necessary tools to make rational and empowered choices.  
an in-depth study on consumer detriment 
a behavioural study on consumer decision making in insurance markets. The conclusions and policy recommendations helped 
the  Commission  to  gain  a  better  understanding  of  consumer  behaviour  in  the  context  of  the  Consumer  Financial  Services 
Action Plan. 
the  exploratory  study  of  consumer  issues  in  peer-to-peer  platform  markets    which  investigates  five  peer-to-peers  (P2P) 
platform  markets  –  such  as  eBay,  Peerby,  Airbnb,  BlaBlaCar,  Uber  or  Yoopies  –  and  identifies  the  mains  issues  for  peer 
consumers and peer providers from the consumer perspective. The study includes an economic analysis of the main business 
models of platforms and an estimate of the expenditures and revenues of peers and platforms in the EU. The findings of the 
study were feeding into the regulatory fitness check of the EU consumer and marketing laws. 
study  on  Residential  Energy  Prosumers  as  accompanying  document  to  the  3rd  Report  on  the  State  of  the  Energy  Union 
(https://ec.europa.eu/commission/publications/accompanying-documents-state-energy-union_en).  The  Study  examines  the 
various  incentives  and  barriers  faced  by  prosumers,  provides  a  mapping  of  the  regulatory  and  administrative  conditions  for 
prosumers  in  the  Member  States,  and  includes  projections  of  future  levels  of  self-generation  uptake  for  PV  panels,  looking 
ahead to 2020 and 2030. 
study  on  the  enforcement  authorities’  powers  in  the  application  of  Regulation  2006/2004/EC  on  Consumer  Protection 
Cooperation, The study covered EU Member States that were not within the scope of a previous study with the same subject, 
completing the image of how the CPC Regulation is applied in practice across the EU. 
study  investigating  five  peer-to-peer  (P2P)  platform  markets,  including  the  main  collaborative  economy  sectors,  and 
identifying the main issues for consumers and providers active in such markets was undertaken in 2016 and published in June 
2017. A series of ten supporting case studies was published in July 2017. The study provided input for the Refit exercise, CPC 
enforcement  action,  the  monitoring  effort  on  the  collaborative  economy  and  a  Commission  initiative  on  the  collaborative 
accommodation sector. 

Consumer Conditions Scoreboard 

The  2017  Consumer  Conditions  Scoreboard  evidenced  significant  developments,  notably  a  broad  improvement  of  consumer 
conditions across  the EU (in  particular on Knowledge  and  Trust and on Compliance and Enforcement) and a surge in consumer 
confidence  in  online  shopping,  especially  in  buying  online  from  other  EU  countries.  The  Scoreboards'  findings  informed  the 
preparation of the New Deal for Consumers. 

Digital  competences  framework  In  2016/2017  the  Digital  competences  framework  for  consumers  was  published  in  all  EU 
languages and promoted and presented to various education and consumer policy stakeholders. This framework was developed in 
line with the overall effort to promoting the acquisition of digital competences by citizens and consumers which is a crucial element 
of the EU's Digital Single Market Strategy and its New Skills Agenda. 

Dual food practices study A dual food practices study, launched in November 2017, is carried out by JRC. It will provide technical 
support  for  the  development  and  implementation  of  a  harmonised  approach  for  testing  quality  related  characteristics  of  branded 
food products, which is expected to further contribute to enhance enforcement of consumer rights.  

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Evaluation of the Programme 
In  October  2017  the  Commission  launched  a  study  on  Ex-post  evaluation  of  the  Consumer  Programme  2007-13  and  mid-term 
evaluation  of  the  Consumer  Programme  2014-2020.  Preliminary  interim  results  of  this  study  show  a  general  satisfaction  of  the 
stakeholders  in  terms  of  relevance  and  effectiveness  of  the  activities.  Highest  scores  in  terms  of  effectiveness  were  provided 
regarding Exchange of enforcement officials, E-enforcement academy (training programme for enforcement agencies), support to 
EU-level consumer organisation, the European Consumer Centres, the RAPEX system, and networking and stakeholders events in 
general. Where lower levels of achievements are reported, the reasons and influencing factors seem to relate mostly to new  market 
challenges driven by fast and often unpredictable societal and technological changes. In addition, there are specific limitations in 
the  Member  States  that  affect  an  optimal  uptake  (e.g.  limited  staff/financial  resources/skills  of  NGOs  or  authorities).  Finally  the 
production  of  evidence  (studies,  scoreboard  etc)  is  widely  accepted  as  an  effective  instrument;  however  question  marks  remain 
regarding the timeline of studies compared to the needs of the policy process and the policy uptake of results. 

Overall the objectives and priorities of the Consumer Programme are assessed as being still very relevant and should be continued. 
Additional  priorities  could  be  given  to  sustainable  consumption,  to  activities  that  contribute  to  a  uniform  and  high  level  of 
consumer protection throughout the EU, and to support to consumer organisations at the Member State level (e.g. jointly with the 
Member States in their role as consumer watchdogs). 

In  terms  of  coherence,  there  seems  to  be  little  overlaps  with  other  programmes,  but  quite  a  significant  potential  for  increasing 
synergies  with  activities  in  other  areas.  In  terms  of  efficiency,  there  seems  to  be  significant  room  for  improvement  regarding 
administrative  burdens  related  to  the  programme  delivery  and  scope  for  simplification  as  regards  grants  for  joint  actions  and 
exchange of officials.  

Forthcoming implementation (2018-2019)  

The  projects  financed  from  the  2017  and  2018  budget  are  from  the  type  of  actions  included  in  Annex  1  of  the  Consumer 
Programme 2014-2020 implemented via its 4 specific objectives. Their results are expected to contribute to the achievement of the 
specific objectives set out by DG Justice and consumers under the priorities “A connected Digital Single Market” and “A deeper 
and fairer Internal Market with a strengthened Industrial Base”. Measures to help enforce consumer legislation and consumer rights 
and measures to enforce product safety will remain the priority, accounting for around 75 % of the operational budget. 

I. Safety: to consolidate and enhance product safety  

Market surveillance activities related to General Product Safety Directive A high level of consumer product safety will continue 
to  be  supported  through  actions  intended  to  step  up  enforcement  by  Member  States,  with  an  emphasis  on  market  surveillance 
concerning products sold on-line, using as of 2018 a service contract for market surveillance activities related to General Product 
Safety Directive (it will replace the joint action grants with Member States for efficiency and simplification reasons) and exchanges 
of enforcement officials aimed at capacity building and best practice sharing.  

Rapid Alert System (RAPEX) The proper functioning of the Rapid Alert System for dangerous non-food products will also receive 
continued support and activities will be focussing on further boosting its use, efficiency and impact.  

II. Consumer information and education and support to consumer organisations  

Education/information and awareness raising activities  In order to build upon consumer education/information achievements to 
date,  more  and  more  diversified  actions  will  be  planned  including  knowledge  and  skills  training  of  consumer  professionals 
(lawyers, academia, journalists, teachers) using, among others, train the trainers seminars for efficient multiplication purposes and 
local seminars. Other actions may include exchange of good practices, working groups, webtools. 

An awareness campaign on ODR specifically targeting traders, launched in 2017 will be implemented in 2018. 

In  spring  2018  the  Commission  plans  to  support  the  New  Deal  for  Consumers  initiative  through  a  dedicated  awareness  raising 
campaign in Member States (Consumer dialogues), including events and media activities at national level.   

The approach to consumer education through the Consumer Classroom interactive community on-line platform launched in 2013 
has proven to be well received and it is necessary to continue to build on these achievements during 2018 and 2019. 

The  pilot  awareness-raising  campaign  on  energy  efficiency  and  energy  poverty  launched  in  November  2017  in  Prague  will  be 
rolled out in four Member States (Czech Republic, Greece, Portugal, and Romania) in the course of 2018. The campaign will focus 
on increasing energy-poor consumers' awareness of their rights under existing energy legislation, and will provide consumers with 
energy-saving  tips  and  information  on  low-cost  energy  efficiency  improvements  (the  vulnerable  households  still  pay  high 
electricity bills because of not being aware of the energy efficiency measures).  

Support  to  EU-level  consumer  organisations  The  financial  support  to  EU-level  consumer  organisations  will  continue  to  be 
instrumental to ensure a strong enough consumer voice at EU level. In 2018 the amount earmarked to this activity will be further 
increased  to  2  million  EUR  (from  1,4  in  2016  and  1,75  million  EUR  in  2017).  New  3-year  framework  partnership  agreements 
covering the operating years 2019, 2020 and 2021 will be set up, and specific operating grants for 2019 will be signed.  

Capacity-building  for  national  consumer  organisations  Capacity-building  activities  for  national  consumer  organisations  are 
foreseen to continue in 2018 and 2019 as a way to support the national consumer movement often lacking capacity to adequately 

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defend consumer interests. . Training courses and exchange of good practices will be articulated at centralised, regional and/or local 
levels, in order to address in the most efficient way the needs of consumer organisations in the Member States. 

Evaluations, surveys and other studies  

As  part  of  the  implementation  of  the  Retail  Financial  Services  Action  Plan,  the  Commission  will  launch  in  2018  a  study  on  the 
digitalisation of  marketing and distance selling of retail financial services so as to  measure the  impact of these developments on 
consumers.  

The Commission will also launch the evaluation of Directive 2008/48/EC on consumer credits via dedicated studies.  

In 2018 a behavioural study on digitalisation in financial services is foreseen.  

A foresight study to prepare for the future of EU consumer policy 2020-2030 will also be carried out during 2018.  

Based on the findings of various studies exploring consumer issues in online market places undertaken in 2016 and 2017, and the 
work on digital competences for consumers, follow-up studies and actions will be undertaken in 2018/2019.       

In particular it is foreseen to further develop the evidence base for the use of behavioural insights in consumer policy making, and 
to promote best practice exchange and capacity building on the use of behavioural insights use in consumer policy among national 
consumer policy makers and consumer association professionals.    

The Market Monitoring Survey (for the 2020 edition of the Consumer Markets Scoreboard) will be launched in 2018 under a new 
framework contract. Data from the Consumer Scoreboards and relevant studies will inform the Annual Growth Survey and Country 
Reports under the European Semester, in areas such as e-commerce, telecoms, energy, financial services.  

III. Rights and redress: to develop and reinforce consumer rights  

Online Dispute Resolution platform The consumer redress will have continued support through the allocation of resources for the 
operation  of  the  Online  Dispute  Resolution  platform  (ODR  platform)  to  help  consumers  and  traders  resolve  their  contractual 
disputes about online purchases of goods and services out-of-court at a low cost in a quick and simple way.  

IV. Enforcement: to support enforcement of consumer rights  

Second phase of the E-enforcement academy project The enforcement of consumer rights will be further strengthened through the 
support of common activities of the Consumer Protection Cooperation (CPC) network. Activities aiming at building the capacity of 
national  enforcement  authorities  to  conduct  online  investigations  will  also  take  place,  in  particular  through  e-learning  modules, 
online tutorials and coaching, information material and targeted workshops (second phase of the E-enforcement academy project).  

Financial support to bodies constituting the European Consumer Centres Network (ECC-Net) The European Consumer Centres 
will continue to be  funded (at the  level of 6 Million EUR  annually) as a very important network for assisting consumers on the 
ground  with  their  cross-border  purchases  and  for  informing  them  of  their  EU  consumer  rights.  Actions  aiming  at  improving  the 
enforcement of legislation in the field of financial services are also envisaged. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 254/2014 of the European Parliament and of the Council of 26 February 2014 on a 
multiannual consumer programme for the years 2014-20 and repealing Decision No 1926/2006/EC 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

188,8 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

1,1 
23,1 
1,7 
25,9 

1,1 
24,1 
1,7 
26,9 

1,0 
25,2 
1,7 
28,0 

1,1 
21,3 
1,7 
24,1 

1,1 
21,9 
1,7 
24,7 

2017 

1,1 
27,5 
1,5 
30,1 

0,8 
26,6 
1,8 
29,3 

2018 

Total 
Programme 
7,4 
169,7 
11,7 
188,8 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

Voted appropriations 

26,923 

99,65 % 

20,556 

95,77 % 

27,966 

43,98 % 

22,991 

23,50 % 

Authorised appropriations (*) 

27,604 

99,62 % 

21,840 

94,53 % 

28,629 

43,10 % 

24,259 

24,37 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 priorities 
Smart growth: the amount corresponds to outputs on: “coordination and monitoring of ADR and implementation of ODR (EUR 2 
million) under specific objective III (line 33 04 01); “evidence base” (EUR 2 million for consumer market studies and behavioural 
studies, mostly linked to digital society in the DSM context) under specific objective II (line 33 04 01); “market surveillance and 
enforcement  actions”  (EUR  0,6  million  for  digital  society)  under  specific  objective  I  (line  33  04  01);  “CPC  coordination  of 
enforcement actions” (EUR 0,4 million for digital society) under specific objective IV  (line 33 04 01); “support to the European 
Consumer Centres” (EUR 6 million for digital society) under specific objective IV (line 33 04 01).  
Sustainable growth: the amount corresponds to outputs on: “market surveillance and enforcement actions” (EUR 2.5 million) under 
specific  objective  I  (line  33  04  01);  “evidence  base”  (EUR  2,5  million  for  the  market  monitoring  survey  that  feed  into  the 
Consumer Market  Scoreboard) under specific objective II (line 33 04 01). 

Gender mainstreaming 
All the consumer evidence collected through surveys, market studies and behavioural studies is gender disaggregated and analysed 
for any significant gender-based differences on a regular basis. However we cannot estimate a specific budget allocated to gender 
mainstreaming. 

4. Performance information 

General objectives 

General Objective 1: to ensure a high level of consumer protection, to empower consumers and to place the consumer at the heart 
of the internal market, within the framework of an overall strategy for smart, sustainable and inclusive growth 
Indicator 1: Consumer conditions index 

Baseline 
2014380 

2014 

Knowledge and Trust: 55,06 (out of 100) 
Compliance and Enforcement: 71,91 (out of 100) 
Complaints and Dispute Resolution: 58,97 (out of 100) 

Milestones foreseen 
2015 

2016 

2017 

56 
73 
60 

Actual results 

2018 

2019 

Target 2020 

58 
74 
61 

60 
75 
63 

55,06 (out of 100) 
71,91 (out of 100) 
58,97 (out of 100) 

Knowledge and Trust 
Compliance and Enforcement 
Complaints and Dispute Resolution 
Result indicator: “pillars” of the consumer conditions index (data available every two years)381 Source of data: Consumer and retailer surveys for 
the Consumer Conditions Scoreboard (biennial frequency)382 
Specific objectives 
Specific  Objective  1: Safety:  to  consolidate  and  enhance  product  safety  through  effective  market  surveillance  throughout  the 
Union 
Indicator 1: % of RAPEX (rapid alert system for dangerous consumers products) notifications entailing at least one reaction  (by 
other Member States) 

59,30 
74,99 
60,34 

Baseline 
2010 

43 % (843 notifications) 
Source: RAPEX 

2014 

2015 

2016 

2017 
45 % 

2018 

2019 

Milestones foreseen 

Actual results 

46 % 
Indicator 2: Ratio number of reactions / number of notifications (serious risks) 

42 % 

46 % 

40 % 

Baseline 
2010 

1,07383 
Source: RAPEX 

Milestones foreseen 

2014 

2015 

2016 

2017 
Increase to 
1,15 

2018 

2019 

1,28 

1,56 

Actual results 
1,80 

1,66 

Expenditure related outputs 

Target 2020 

Increase of 10 % (to 
47,5 %), compared to 
the 2010 value 

Target 2020 

Increase of 15 %, 
compared to 2010 
 (to 1,23) 

380 The Consumer Condition Index provides an overview of the key indicators describing the consumer environment at national level, as measured through surveys 
of perceptions, attitudes and experiences of consumers and of retailers. 
381  This  indicator  is  related  to  the  Specific  objective  4.1  “Consolidate  and  improve  the  rights  of  consumers  when  purchasing  in  the  Single  Market”,  within  the 
General objective “A Deeper and Fairer Internal Market with a Strengthened Industrial Base” as adopted in the Strategic Plan 2016-2020 of DG JUST 
382 As the methodology for the computation of the indicators related to the CCI and its components has been revised in 2016, the 2014 values for the indicators are 
not directly computable (data between 2014 and 2016 are not directly comparable). Therefore, the values for 2014 have been back-estimated by applying to the 2016 
values the changes in percentage points observed  between 2016 and 2014 (computed on indicators based on the same methodology). By doing that, the values for 
2014 have been slightly revised with respect to the initial baseline. 
383 A notification can trigger several reactions from authorities of other Member States. 

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Outputs 

scientific advice 
market surveillance and enforcement actions 
cosmetics portal and database 
Total 

Outputs 

scientific advice 

market surveillance and enforcement actions 

cosmetics portal and database 

2014 
1 
1 
7 
6 
2 
2 

F 
P 
F 
P 
F 
P 

Budget line 

33 04 01 
33 04 01 
33 04 01 

Draft Budget 2019 

Number 
1 
6 
2 
9 

EUR million 
0,6 
3,8 
0,4 
4,8 

2018 
1 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
6 
5   
2 
2 

2016 
1 
1 
6 
5 
2 
2 

2015 
1 
1 
6  
6 
2 
2 

6 

2 

6 

2 

2019 
1 

2020 
1 

6 

2 

Justification of changes to the financial programming and/or to the performance information 
Both  indicators  for  this  specific  objective  reflect  a  stable  cooperation  of  Member  States  authorities'  follow-up  activities  to 
notifications  through  the  Rapid  Alert  System.  In  2017,  the  Commission  decided  to  change  the  financing  modus  for  support  to 
national  product  safety  enforcement  authorities  with  co-ordinated  market  surveillance  activities  from  grants  to  procurement.  No 
grants were therefore awarded in 2017 and the corresponding budget shall be used under a new framework contract. 

Specific  Objective  2: Consumer  information  and  education,  and  support  to  consumer  organisations:  to  improve  consumers’ 
education, information and awareness of their rights, to develop the evidence base for consumer policy and to provide support to 
consumer organisations, including taking into account the specific needs of vulnerable consumers 
Indicator 1: Number of complaint bodies and number of countries submitting complaints to the European Consumer Complaints 
Registration system (ECCRS). 

Baseline 
2012 

33 complaint bodies from 
7 countries. 
Source: ECCRS 

Milestones foreseen 

2014 

2015 

2016 

2017 
90 complaint 
bodies from 
22 countries 

37 complaint 
bodies from 13 
countries 

73 complaint 
bodies from 20 
countries 

77 complaint 
bodies from 24 
countries 

77 complaint 
bodies from 
24 countries 

Actual results 

2018 

2019 

Target 2020 

100 complaint bodies 
from 25 countries by 
2020384 

Expenditure related outputs 

Outputs 

evidence base 
support to consumer organisations 
consumer information 
consumer education 
Total 

Outputs 

evidence base 

support to consumer organisations 

consumer information 

consumer education 

2014 
3 
3 
3 
3 
7 
7 
2 
2 

F 
P 
F 
P 
F 
P 
F 
P 

Budget line 

33 04 01 
33 04 01 
33 04 01 
33 04 01 

Draft Budget 2019 

Number 
3 
3 
7 
2 
15 

EUR million 
3,5 
3 
1,8 
1,1 
9,4 

Number of outputs foreseen (F) and produced (P) 
2017 
3 

2018 
3 

2019 
3 

3 

7 

2 

3 

7 

2 

3 

7 

2 

2020 
3 

3 

7 

2 

2015 
3 
3 
3 
3 
7 
7 
2 
2 

2016 
3 
3 
3 
3 
7 
5 
2 
2 

Specific Objective 3: Rights and redress: to develop and reinforce consumer rights in particular through smart regulatory action 
and improving access to simple, efficient, expedient and low-cost redress including alternative dispute resolution 
Indicator 1: % of those cases dealt with by European Consumer Centres (ECCs) and not resolved directly with traders which were 
subsequently referred to Alternative Dispute Resolution (ADR). 

Baseline 
2010 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

384 The 2020 target was already reached in 2015. We revise the 2020 target and milestones to make them more ambitious. 

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9 % 
Source: Annual ECC 
report 

16,2 % 

16 % 

18 % 

11%* 

40 % 

Actual results 

75 % 

*ECC Net tool provisional data; ECC report is available in March 
This  indicator  is  not  suited  for  assessing  the  performance  of  ECCs.  The  proportion  of  referrals  of  unresolved  cases  to  ADR  depends  on  the 
performance of ADR/ODR and the traders' engagement in the alternative dispute resolution system.  
The  choice  to  refer  the  cases  to  ADR  by  consumer  centres  depends  on  their  experience  with  traders  being  ready  to  submit  to  ADR  and  the 
efficiency  of  the  ADR  bodies  in  any  particular  jurisdiction.  Consequently,  ECCs  will  decrease  the  number  of  cases  referred  to  ADR  if  they 
perceive that other means of redress (courts, EPO, ESCP, enforcement bodies or the police) are more likely to help the consumer. Moreover, with 
the  launch  of  ODR  the  consumers  can  attempt  alternative  dispute  resolution  entirely  online:  13,363  cross-border  complaints  were  submitted 
directly to ODR compared to 5,323 cases submitted to ECCs in 2017 that were closed as unresolved during the year.  
It is therefore necessary to re-evaluate the target setting methodology to adapt it for monitoring the performance of  ADR/ODR. Also, the ECCs 
are funded under specific objective four (enforcement) and not under specific objective three, which concerns ADR/ODR (rights and redress). 
Indicator 2: Number of cases dealt with by a Union-wide online dispute resolution system 

2014 

Baseline 
2010 
17 500 complaints 
received by ECCs related 
to e-commerce transactions 
Source: ODR platform385 
Indicator 3: % of consumers who took action in response to a problem encountered in the past 12 months. 

2017 
50 000 

Actual results 

Milestones foreseen 

25 384 

20 176 

52 735 

2018 

2016 

2015 

2019 

386 

Target 2020 

100 000 

Baseline 
2012387 
83 %  
Source: Consumer 
Conditions Scoreboard 

2014 

2015 

Milestones foreseen 

2016 
80 % 

2017 

2018 
85 % 

Actual results 

2019 

Target 2020 

90 % 

75% 

N.A. * 

69 % 

N.A. * 

*Data collected every second year 

Expenditure related outputs 

Outputs 

preparation of legislation 
coordination and monitoring of ADR and operation of the ODR platform 
Total 

Budget line 

33 04 01 
33 04 01 

Draft Budget 2019 

Number 
5 
2 
7 

EUR million 
2,1 
2 
4,1 

Outputs 

Number of outputs foreseen (F) and produced (P) 
2017 
5 

2018 
5 

2019 
5 

2020 
5 

preparation of  legislation 

F 
P 
coordination  and  monitoring  of  ADR  and 
F 
operation of the ODR platform 
P 
Justification of changes to the financial programming and/or to the performance information 
Two  outputs  foreseen  for  2016  have  not  been  produced:  the  study  on  the  application  of  the  Directive  on  Distance  Marketing  of 
Financial Services  given the delay in the adoption of the  Action Plan on retail financial services;  the  mid-term evaluation of the 
Consumer Programme 2014-2020 has been postponed to 2017. 

2 

2 

2 

2 

2014 
5 
5 
2 
1 

2015 
5 
4 
2 
2 

2016 
5 
3 
2 
2 

Specific  Objective  4: Enforcement:  to  support  enforcement  of  consumer  rights  by  strengthening  cooperation  between  national 
enforcement bodies and by supporting consumers with advice 
Indicator 1: Level of information flow and cooperation within the Consumer Protection Cooperation (CPC) Network 

Baseline 
(2007-2010)* 

2014 

2015** 

Milestones foreseen 
2017 
2016 

2018 

2019 

Target 2020 

number of requests to exchange information between 
CPC authorities = 129 

number of requests for enforcement measures between 
CPC authorities = 142 

number of alerts within the CPC network = 63 

Increase to 156 
Increase to 172 
Increase to 76 

132 
130 
35 

122 
138 
45 

Actual results 
80 
198 
78 

68 
194 
57 

Increase of 30 % 
(to 167) 
Increase of 30 % 
(to 185) 
Increase of 30 % 
(to 82) 

385 ODR platform became operational in February 2016. 
386 No figure available in 2015 since the platform was launched in 2016. 
387 As the methodology for the computation of the indicator has been revised in 2016, the values for 2014 and 2012 are not directly computable with those of 2016. 
Therefore, the values for 2014 and 2012 have been back-estimated by applying to the 2016 values the changes in percentage points observed between 2016 and 
2014 and between 2016 and 2012 (computed on indicators based on the same methodology). By doing that, the values for 2014 have been slightly revised with 
respect to that reported in the previous edition of this document. 

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* Current situation: annualised averages 2007-10 
** Cases opened in 2015. 2015 is a year with many new cases, but as the case load can vary substantially, the progress will have to be monitored 
over a couple of year before updating the targets. These numbers are to be confirmed once the technical problem with our reporting tool is solved. 
Indicator 2: % of enforcement requests handled within 12 months within the CPC Network 

Baseline 
2007-2010 
50 % 
Source: CPC Network 
Database (CPCS) 

2014 

2015* 

2016 

2017 
55 % 

2018 

2019 

Milestones foreseen 

51 % 

46 % 

26,3 % 

24,23% 

Actual results 

Target 2020 

60 % 

* This % is to be confirmed once the technical problem with QV reporting is solved for CPCS. 
The  number  of  enforcement  request  which  have  been  dealt  with  within  12  months  is  below  the  2017  milestone.  However,  this  issue  has  been 
addressed through the adoption of the new CPC Regulation (Regulation 2017/2394) based on which the Commission has a stronger monitoring 
role on all CPC activities, and especially in order to ensure the respect of deadlines by CPC authorities (Article 14(5)). The new CPC regulation 
requires  CPC  authorities  to  deal  with  request  for  enforcement  measures  with  no  delay  and  at  the  latest  within  6  months,  unless  justified    in 
exceptional circumstances. Regulation 2017/2394 will be applicable from 17 January 2020. This indicator is, therefore, no longer relevant as a 
clear  new  timeframe  has  been  introduced  by  the  new  CPC  Regulation.  Until  the  entry  into  application  of  the  new  CPC  Regulation,  the 
Commission will regularly report on open cases within the CPC Network, and continue to discuss delays with the Member States  concerned to 
ensure that enforcement request are carried out efficiently and timely. 

Indicator 3: % of information requests handled within 3 months within the CPC Network 

Baseline 
2007-2010 
33 % 
Source: CPC Network 
Database (CPCS) 

2014 

2015* 

2016 

2017 
37 % 

2018 

2019 

Milestones foreseen 

Actual results 

Target 2020 

50 % 

38 % 

34 % 

22,78% 

25,37 % 
* Cases opened in 2013, 2014 and 2015 Q1-Q3; This % is to be confirmed once the technical problem with QV reporting is solved for CPCS. 
The number of requests to exchange information which have been dealt with within 3 months is below the 2017 milestone. However, this issue 
has  been  addressed  through  the  adoption  of  the  new  CPC  Regulation  (Regulation  2017/2394)  based  on  which  the  Commission  has  a  stronger 
monitoring role on all CPC activities, and especially in order to ensure the respect of deadlines by CPC authorities (Article 14(5)). The new CPC 
regulation requires CPC authorities to deal with information requests with no delay and at the latest within 30 days, unless  agreed otherwise in 
exceptional circumstances. Regulation 2017/2394 will be applicable from 17 January 2020. This indicator is, therefore, no longer relevant as a 
clear  new  timeframe  has  been  introduced  by  the  new  CPC  Regulation.  Until  the  entry  into  application  of  the  new  CPC  Regulation,  the 
Commission will regularly report on open cases within the CPC Network, and continue to discuss delays with the Member States  concerned to 
ensure that information exchanges are carried out efficiently and timely. 
Even if indicators 2 and 3 fall below the 2017 milestone, the issue was addressed by the recently adopted reformed CPC Regulation – Regulation 
2017/2394) as explained under Indicators 2 and 3. Indicators 2 and 3 for year 2020 will not be relevant anymore given that the reformed CPC 
Regulation introduced new timeframes. 

Indicator 4: Number of contacts with consumers handled by the European Consumer Centres (ECC). 

Baseline 
2010 

71 000 
Source: ECC report 

2014 

2015 

Milestones foreseen 
2016 

2017 
88 750 

Actual results 

2018 

2019 

83 425 

93 964 

111 563 

99 201 

Indicator 5: Number of visits to the website of the ECCs. 

Baseline 
2013 
3 000 000 
Source: ECC-Net 
Evaluation Report 

2014 

2015388 

Milestones foreseen 
2016389 
2017 
3 900 000 

Actual results 

2018 

2019 

3 868 976 

4 694 205 

4 286 984 

3 763 129* 

* Partial results for 20 countries as available on 20 March 2018 

Target 2020 

Increase of 50% (to 
106 500), compared 
to 2010 

Target 2020 

Increase of 70 % (to 
5 100 000), 
compared to 2013 

Expenditure related outputs 

Outputs 

CPC coordination of enforcement actions 
support to the European Consumer Centres 
Total 

Outputs 

CPC coordination of enforcement actions** 

support to the European Consumer Centres 

2014 
4 
4 
2 
2 

F 
P 
F 
P 

Budget line 

33 04 01 
33 04 01 

Draft Budget 2019 

Number 
4 
2 
6 

EUR million 
1,8 
6,6 
8,4 

Number of outputs foreseen (F) and produced (P) 
2017 
4 

2018 
4 

2019 
4 

2020 
4 

2 

2 

2 

2 

2015 
4 
3* 
2 
2 

2016 
4 
3* 
2 
2 

388 Data only available after ECC's final reports arrived in February 2016 
389 The 2016 visits will be provided with the final report by end of February 2017. 

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*  The  foreseen  Grants  for  joint  actions  to  improve  cooperation  between  national  authorities  responsible  for  the  enforcement  of  consumer 
protection laws (CPC) were not awarded. The call for proposals will be launched again in the new context of revised CPC Regulation. 
** CPC coordinated actions include sweep, joint enforcement actions and common activities of enforcement authorities. The timing of the actions 
varies and they do not match the annual budget years. The number of on-going coordinated actions is taken as indicator in a given year. 

5. Programme contribution to the Sustainable Development Goals 

The Consumer Programme contributes to the SDG 7 (Ensure access to affordable, reliable, sustainable and modern energy for all) 
by financing actions aiming at achieving the specific objective “Empowered energy consumers and enhanced competition through 
improved  and  comparable  information  on  billing  and  offers,  and  improved  tools  for  comparison  and  switching,  a  coherent 
framework to protect and incentivise consumers to opt for smarter consumption modes and self-generation”.   

Example: an awareness-raising action on energy consumer rights such as switching, and household energy efficiency improvements 
aiming  at  helping  to  reduce  energy  bills  and  improve  quality  of  life  is  in  the  planning  to  be  implemented  in  2017-2018.  As 
recognised in the Clean Energy for All Europeans Package, many consumers pay too much for their bills and are not aware of the 
possibility to switch providers or how to save energy by improving the energy efficiency of their homes and changing their energy 
consumption behaviour. Awareness of the issue of energy poverty is now widespread at EU level and there is a clear mandate to 
take more concrete action to alleviate it.  

A contribution is made also to the SDG 12 (Ensure sustainable consumption and production patterns) by financing actions listed by 
Annex  1  of  the  Consumer  Programme  2014-2020  item  6.(d)  “enhancing  consumers’  access  to  information  on  sustainable 
consumption of goods and services”. 

Example:  a  behavioural  study  on  Consumers'  Engagement  in  the  Circular  Economy  is  planned  for  2017-2018.  The  study  will 
provide insights on consumer attitudes and behaviour regarding durability and reparability aspects and will serve as an input to the 
implementation  of  the  EU  Circular  Economy  Action  Plan  (COM(2015)  614  final),  adopted  in  2015.  Moreover,  the  Consumer 
Conditions  Scoreboard  monitors  consumers'  trust  in  environmental  claims  and  the  extent  to  which  the  environmental  impact  of 
goods and services inform their purchasing decisions. 

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HEADING 3: Security and citizenship 

Creative Europe Programme 
Lead DG: EAC 
Associated DGs: CNECT 

I. Programme Overview 

What the programme is about? 

With a budget of EUR 1.46 billion, Creative Europe is the European Commission's framework programme for support to the 
Europe's  culture and audiovisual sectors. The  programme  is  divided  into  two  sub-programmes,  Culture  and  MEDIA,  and  is 
supported  by  a  cross-sectoral  strand.  Its  objectives  are  to  promote  cultural  and  linguistic  diversity  and  enhance  the 
competitiveness of these sectors, by supporting small independent production and distribution companies in the audiovisual field as 
well as a wide range of operators in the cultural field. 

The Creative Europe programme contributes to the political priorities of the Commission, in particular relating to jobs, growth and 
investment  and  the  European  Digital  Single  Market.  By  allowing  participation  of  non-EU  cultural  and  creative  operators,  the 
programme  also  contributes  to  making  the  EU  a  stronger  global  actor.  At  the  same  time,  the  programme  helps  address  current 
political and societal challenges through the power of culture to reach the hearts and minds of citizens and boost confidence in our 
shared European values. 

The  MEDIA  sub-programme  provides  added  value  through  supporting  independent  producers  and  distributors  and  their 
audiovisual works (mainly films and TV programmes including live action, animation, fiction and documentaries as well as some 
video  games)  in  order  to  ensure  that  they  operate  and  circulate  across  Europe  and  globally,  through  financial  support  to  the 
development and creation of audiovisual works, their cross-border distribution, including online, financing of promotional activities 
and building the skills and talents in the sector.  

The Culture sub-programme addresses the cultural and creative sectors (heritage, museums, performing arts, visual arts, design, 
literature,  architecture)  and  provides  European  added  value  through  support  to  cross-border  cooperation,  mobility  of  cultural 
operators  and  circulation  of  works,  capacity  building  and  internationalization  of  careers  and  cultural  and  linguistic  diversity.    In 
addition, a  number of symbolic actions showcase European talent and excellence and the  tangible returns of investing in culture 
(European Capital of Culture).  

The  cross-sectoral  strand  helps  diversify  the  EU  support  through  the  Financial  Guarantee  Facility,  a  market-led  financial 
instrument providing guarantees to financial institutions extending loans to cultural and creative enterprises, which have difficulties 
accessing  private  financing.  In  addition,  a  limited  number  of  projects  of  experimental  nature  open  to  all  cultural  and  creative 
players are carried out, promoting innovation and helping to develop policies and alternative support schemes.  

EU added value of the programme 

Recognising  the  intrinsic,  economic  and  social  value  of  culture,  the  Creative  Europe  Programme  supports  actions  and  activities 
with a European added value in the cultural and creative sectors. It contributes to the achievement of the objectives of the Europe 
2020 Strategy and its flagship initiatives. 

The Creative Europe programme ensures the EU value-added through one or more of the following: 
 

the  transnational  character  of  actions  and  activities  which  complement  regional,  national,  international  and  other  Union 
programmes  and  policies,  and  the  impact  of  such  actions  and  activities  on  the  cultural  and  creative  sectors  as  well  as  on 
citizens and on their knowledge of cultures other than their own; 
the  development  and  promotion  of  transnational  cooperation  between  cultural  and  creative  players,  including  artists,  audio-
visual  professionals,  cultural  and  creative  organisations  and  audiovisual  operators,  focused  on  stimulating  more 
comprehensive, rapid, effective and long-term responses to global challenges; 
the economies of scale and critical mass which Union support fosters, creating a leverage effect for additional funds; 
ensuring more level playing field in the European cultural and creative sectors by taking account of low production capacity 
countries and/or countries or regions with a restricted geographical and/or linguistic area. 

 

 
 

  The  combined  focus  of  the  programme  on  the  promotion  of  cultural  diversity  and  the  support  to  the  competitiveness  of  the 
cultural and creative sectors - has led to positive societal benefits for European citizens and economic benefits for the European 
cultural and creative sectors.  The programme has supported innovative projects of artistic quality, but also of economic value. 
Its European added value rests on its complementarity with national public funds, on the support to transnational activities and 
cooperation, the fostering of economies of scale and the taking into account of low capacity countries. 

II. Programme Update 

Implementation Status (2014-2017) 

In the period 2014-2017, the programme was implemented as foreseen and no significant variations are signaled compared to the 
initial planning in terms of results achieved and use of resources. The level of appropriations implemented reached nearly 100 %, 

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on the  final budget, both in commitments and payments.  In 2017, the programme has seen the  number of participating countries 
expanding.  The  first  Mediterranean  neighbor,  Tunisia,  joined  the  programme  and  two  other  countries  are  ready  to  sign  their 
agreement  in  the  first  half  of  2018  (Armenia  and  Kosovo).  This  is  a  clear  indication  of  the  relevance  of  the  Creative  Europe 
programme as a useful tool for cultural diplomacy and the recent EU strategy on the role of culture in EU external relations.   

In 2017 a total of 5025 applications were submitted (906 under Culture and 4119 under MEDIA), of which 2317 were selected for 
funding  (157  for  Culture  and  2133  for  MEDIA)    Typically,  the  MEDIA  sub-programme  has  set  a  restrictive  set  of  eligibility 
criteria to focus on high quality applications and reduce administrative  overheads for applicants and the Executive  Agency alike. 
This results in high success rates in the closely targeted schemes such as Cinema Automatic  - 90% (a two stage Call restricted to 
operators  performing  well  in  cross  border  distribution).    However,  the  Development  schemes  have  a  lower  success  rate  of  15% 
because  there  is  high  demand  from  independent  producers  for  this  type  of  "seed-funding",  often  not  available  at  national  level.   
Overall, in 2017 MEDIA focused its support on four main areas. 

  Talent and skills (€7 mio) – Supporting international talents through training is a very important part of MEDIA, with the aim 
of  equipping  audiovisual  professionals  with  a    mix  of  creative,  digital  and  entrepreneurial  skills.    MEDIA  helps  more  than 
1800 professionals  to  be  trained  annually  through  transnational  and  international  projects.    The  2016  call  for  proposals  was 
held under a two year framework partnership agreement and in 2017 53 out of 54 beneficiaries selected in 2016 submitted a 
request for renewal.  Innovative training programmes include the Berlinale Talents where, in 2017, an international selection 
committee chose 250 Talents out of 2,711 applicants from 127 nations based on their prior achievements and the impact and 
relevance of their artistic work in their home countries.  

  Fostering  quality  content  creation  (€36  mio)  –  As  the  distinction  between  formats  is  blurring,  so  quality  storytelling  is  a 
crucial  asset  for  films  and  TV  programmes  and  other  works  to  appeal  to  audiences  across  border.      Co-productions  are 
particularly  supported  as  these  are  more  likely  to  be  successful  in  several  markets.    MEDIA  has  supported  development  of 
works, providing seed funding at the pre-production phase.  "Loving Vincent", which had received a small development grant, 
won its first award at the 2017 Annecy Festival where it won the Audience Award.  Support to TV co-productions contributes 
to reaching audiences often in the original language versions.  For example "Babylon Berlin", which is a drama set in 1920's 
Germany, an important period in our shared European history, received €1mio from MEDIA.  MEDIA supported films won 
the European Film Awards, the Cannes Palme d'Or and the Berlinale Golden Bear in 2017. 

  Access  and  distribution  (€53.5  mio)  –  MEDIA  provides  incentives  to  distributors  for  the  circulation  of  non-national  films 
across borders.  The mid-term evaluation found that MEDIA has sustained an internal market for non-national European films 
by supporting the cross-border distribution of over 400 films per year, equivalent to 25% of Europe's annual film production. 
On  average  these  reach  an  aggregate  audience  of  65  million  (not  counting  national  admissions).  For  example,  in  2017  the 
Cannes Palme d'Or winner "The Square" was attributed MEDIA distribution support.  Moreover, the Europa Cinemas network, 
which  is  MEDIA's  biggest  beneficiary,  supports  roughly  1,000  European  cinemas  in  33  European  countries  focusing  on 
European films.  

  Access to markets and promotion (EUR 14 million) – MEDIA supports markets which provide opportunities for audiovisual 
companies  across  Europe  to  find  partners  and  develop  projects.    For  example,  MIFA,  the  market  of  Annecy  Festival,  is  the 
largest animation  market in the  world, gathering over 2,800 professionals each  year.  Films  were also promoted through the 
support to 65 festivals in 2017 and through networks such as the European Film Promotion.   

On the basis of MEDIA, the Commission takes forward a policy dialogue with the industry.  In 2017 a highlight was the adoption 
by  the  industry  of  an  Animation  Action  Plan  for  Europe  which  sets  out  strategic  objectives  for  the  future  competitiveness  of 
Europe's animation sector. The implementation of the plan will be partly funded by MEDIA.   

As  regards  the  Culture  sub-programme,  292  co-operation  projects  were  selected  for  co-financing  in  the  period  2014-2017, 
representing an average success rate of 13,96 %, while in 2017 the success rate for cooperation projects slightly rose to 14,78%,  
indicating a continuous high demand for EU support and a high number of excluded quality projects due to limited funds. The two 
final  calls  for  network  and  platform  support  allowed  for  the  selection  of  organizations  representing  a  broader  range  of  sectors 
covering areas so far not reached such as digital arts and photography. 

Under the Culture sub-programme, in 2017, support resulted in 81 European cooperation projects which stress Europe's cultural 
diversity,  and  bring  about  economic  benefits  to  SMEs  and  microbusinesses  active  in  cultural  sectors  like  music,  publishing  and 
design.  The  emphasis  on  audience  development,  capacity  building  and  support  for  start-ups  has  allowed  the  implementation  of 
several  innovative  projects  of  high  artistic  quality  and  economic  value.  Nearly  50  %  of  the  budget  supports  the  performing  arts 
sector  (music,  theatre,  dance)  which  proves  the  relevance  of  EU  support  to  contemporary  creation  and  has  a  positive  impact  on 
professionals' careers. In preparation of the European Year of Cultural Heritage, cultural diversity is safeguarded with more than 
16% of funding benefitting heritage, a welcome substantial rise of support of 21 %  to visual arts including digital arts and therefore 
with a strong link to the priorities of the programme and a stable percentage of 6,2 % to books and reading.  

The  platform  scheme  was  introduced  with  Creative  Europe  and  proved  to  be  able  to  create  new  and  more  flexible  ways  of 
European  programming  and  of  targeting  emerging  artists.  While  several  platforms  already  supported  from  the  start  of  the 
programme such as Liveurope in the area of rock and pop music continue to grow and consolidate thanks to the EU support, the last 
selection  round  in  2017  managed  to  attract  new  and  promising  players  such  as  the  Fedora  Platform  in  the  area  of  opera.  This 
platform  tackles  the  issue  of  public/private  partnership  in  a  rather  promising  way  and  thus  fills  a  gap  previously  described  in 

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developing  new business  models  which could potentially  serve as an example  for other sectors and other organisations  from the 
creative sector.  

Representing  pan-European  member-based  structures  gathering  4000  organizations  and  professionals,  the  28  selected  European 
Networks  constitute  a  concrete  contribution  to  internationalization  of  careers,  peer  learning,  collecting  and  promoting  good 
practices.  More  than  half  of  these  networks  focus  on  the  development  of  skills  and  know-how  and  the  digital  shift,  enabling  its 
members to test innovative approaches to audience development and thus contributing to the overriding priority of the programme. 
With more than half of them active in the performing arts area, this constitutes a real contribution to one of the major objectives of 
the culture sub-programme. 

Representing  the  biggest  budget  share,  cooperation  projects  give  organisations  the  possibility  to  co-produce  and  contribute  to 
capacity building (in 2016: 40.6 %), by investing in skills & training (21.9%), new business models (7.8%) and tackling digitization 
challenges (10.9%). They allow artists and culture professionals to operate across borders ((in 2016: 31.5 % of projects). In 2016, 
520 supported organisations expected to create 1952 jobs generating a total combined EU and other funding of EUR 93.5 million 
for cultural cooperation activities. In 2014-2015 147 cooperations, involved 847 cultural organisations and helped create more than 
3288 jobs, of which 705 of a permanent nature. As an example, with a grant of less than 300 000 euros, a project called "Boosting 
careers of animation young artists with video mapping" will have created 11 temporary and 5 permanent jobs job opportunities for 
± 400 young animation artists, through a cooperation of creative industries, public institutions and European Universities of Art and 
Design.  

Under  the  cross-sectoral  strand  the  negotiations  for  the  Delegation  Agreement  of  the  Cultural  and  Creative  Sectors  Guarantee 
Facility  (CCS  GF)  with  the  European  Investment  Fund  were  finalized  in  June  2016  thus  enabling  the  launch  of  this  innovative 
instrument.  The  implementation  of  the  CCS  GF  has  made  a  strong  start  and  in  2017  further  built  on  the  number  of  guarantee 
agreements with financial intermediaries390. 

Key achievements 

In 2017  MEDIA helped European films be  visible and  find audiences despite the dominance of Hollywood  studios  and the  fast 
growth of US online platforms such as Netflix and Amazon.  MEDIA supported the distribution of over 400 films across European 
borders so that they could be watched by 70 million people. MEDIA also supported a network of over 1000 cinemas in 34 countries 
which give prominence to European films.  The quality of MEDIA supported films again gained international recognition: At the 
Cannes Film Festival, "The Square" won the Palme d'Or while at the Oscars "Call me by your name" won the prize for best adapted 
screenplay.    These  are  examples  of  how  MEDIA  has  helped  share  powerful  human  stories  and  thus  brought  European  citizens 
closer together and strengthened the sense of a common European identity.   

Among  the  actions  showcasing  the  richness  and  diversity  of  cultures  in  Europe  as  well  as  the  common  features  they  share,  the 
European Capitals of Culture (ECOCs) have a significant leverage effect on long-term cultural, social and economic benefits to 
the cities which have held the title. This cost-efficient leverage action (1.5 million euros in the form of the Melina Mercouri Prize) 
stimulates huge culture-led investments by national, regional and local public authorities: as an example, in 2016, the two ECOCs 
invested  approximately  86,4  million  euros  in    Wroclaw  and  49,6  million  euros  in  Donostia  San  Sebastian.  One  euro  of  public 
money invested in an ECOC  project can generate  up to 6 euros in return for the local economy (as  was for example the case in 
Mons, ECOC 2015) and overnight visitors increase on average by 12 %. In Wroclaw, an extra 50 000 international tourists stayed 
in the city's hotels in 2016 compared to 2015. 

The "European Creative Hubs Network Peer-to-peer exchange scheme" (2016-2017) supports the development and networking 
of  129  creative  hubs  across  Europe  and  beyond  as  innovative  models  to  support  the  creative  economy  and  95  created  an  online 
community.  Through  empowering  players  to  work  cross-sectorally  and  tackle  digitisation,  these  have  a  direct  local  impact  and 
contribute to wider societal challenges. The programme was able to prove flexibility by issuing a special call for proposals in 2016 
supporting  projects  seeking  to  integrate  migrants  into  the  EU  via  cultural  and  audio-visual  activities.  The  high  number  of 
applications received (about 274) confirmed strong demand and  readiness of the sector but the limited funds of 2.2 million euros 
allowed for only 12 actions to be co-financed. Given the continuous societal relevance of the issue social inclusion and intercultural 
dialogue will remain a focus area in particular under the European cooperation projects. 

A new policy project "Cultural and Creative Spaces and Cities" has been planned under Creative Europe's Cross-sectorial strand 
in 2018-20 to provide support to cultural and creative spaces as well as other actors in particular at the local level. Also the wider 
context  of  creative  hubs,  cultural  centres  and  the  local  context  will  be  explored  for  a  better  use  of  public  spaces  for  social 
regeneration  through  culture,  better  connecting  urban  development,  social  inclusion,  job  creation,  skills  development  as  well  as 
innovation policies, creating a space for policy experimentation and support of new approaches and to test ideas on culture and the 
creative  economy  in  the  context  of  the  collaborative  economy.  Innovative  cities  are  thus  a  cornerstone  of  EU  policy-making  in 
different policy areas. A call for proposals was published with a deadline for submission on 19 February 2018. 

The Module on Masters of Arts and Sciences, adopted in the 2017 Work Programme, is a more recent example of a cross-sectoral 
project.  These projects address the significant skills gap which creative industries are experiencing at the inter-section of creativity 
and technology.  To respond to this gap at European level, an interdisciplinary approach will be promoted in masters and university 
courses fostering cross-sectorial curricula combining technology with the arts to produce knowledgeable and creative workforces. 
Implementation of projects will begin in 2018. 

390  https://ec.europa.eu/digital-single-market/en/financial-guarantee-facility-culture-creative 

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The Cultural and Creative Sectors' Guarantee Facility is an innovative market led instrument that addresses the financing gap 
for SMEs in these sectors, aiming to generate over EUR 600 million in loans for cultural and creative sectors. The new instrument 
has  been  well  received  by  the  market  and  by  the  end  of  2017  the  Cultural  and  Creative  Sectors'  Guarantee  Facility  had  signed 
guarantee  agreements  with 9  financial intermediaries  from  Spain, France,  Romania,  Czech  Republic, Belgium and Italy. Overall 
about 500 loans were made under the scheme to final beneficiaries, of which 80% from the audiovisual sector and 20% from other 
cultural sectors.  These results are very encouraging because they indicate that the traditional gap between the financial sector and 
the  cultural  and  creative  sectors  can  be  addressed  in  a  concrete  way.    Given  the  strong  market  demand,  the  European  Fund  for 
Strategic Investment has been mobilized to top-up the CCS GF by 60 million euros, equivalent to 50% of the first budget.    

Evaluations/studies conducted 
In 2017, the mid-term external evaluation of the programme foreseen by the Regulation391 was completed and, on the basis of its 
findings, the  Commission  will issue  a  report to the  European Parliament and the Council by  mid-2018. An independent external 
evaluation has been conducted to provide a basis for the Commission's report.  It has assessed the impact of the projects completed 
under the  previous Culture,  MEDIA and MEDIA Mundus programmes  as  well as progress  in implementing  Creative  Europe. In 
particular it has conducted focused evaluations on the key support schemes using counterfactual analysis, drawing on project data 
gathered  from  beneficiaries.    The  feedback  of  stakeholders  was  fully  taken  into  account,  including  through  an  online  public 
consultation. The evaluation makes recommendations on strengthening the Performance Monitoring Framework in order to monitor 
results more closely on the basis of indicators which are RACER.  The arrangements for a "level-laying field" between the high, 
medium and low capacity countries will be assessed as regards MEDIA with a view to avoiding undue distortions of competition.   

The  preliminary  findings  of  the  2017  independent  evaluation  state  that  Creative  Europe  objectives  of  supporting  transnational 
collaboration, cross-border circulation of EU works and strengthening the financial capacity of cultural and creative SMEs remain 
highly relevant to the main challenges of the Cultural and Creative Sectors (CCS). Overall, Creative Europe has met its objectives 
and generally responded to the needs of the CCS. However, more needs to be done to fully reap the opportunities offered by the 
digital shift (e.g. digital creation and distribution, reinforced engagement with audiences, accessing new markets or big data). The 
European added value of Creative Europe derives primarily from the transnational character of its actions which complements the 
national focus of Member States. Exchanges, networks and partnerships are at the core of the beneficial effects of Creative Europe. 
They have had a long-term structuring effect on the capacity of all CCS to work together. 

Also, the mid-term evaluation conducted in 2017 found that Creative Europe generated an estimated 3,000 employment positions 
in the period 2014-2016.  MEDIA created on average 1.6 FTEs per beneficiary.  The large majority of beneficiaries also responded 
that  their  market  position  had  been  strengthened  through  MEDIA  support.   Beyond  individual  support  for  European  audiovisual 
works, MEDIA proves its strength through a structuring effect, bringing together different knowledge and expertise and creating 
value for the audiovisual sector as a whole.  

Creative  Europe  has  contributed  to  delivering  the  EU  policy  agenda,  stimulating  investment  and  job  creation  and  deepening  the 
internal market, especially through greater circulation of creative content. Yet these results could have been much larger with more 
funding.  The  MEDIA  and  Culture  sub-programmes  were  found  coherent  internally.  However,  the  evaluation  points  out  that  the 
current  fragmentation  of  MEDIA  into  14  separate  schemes  limits  flexibility  and  weakens  the  capacity  to  achieve  collaboration 
across the industry, and in particular collaboration between distributors across territories and with producers to promote films. The 
Guarantee  Facility  has  enhanced  the  overall  coherence  of  the  programme,  but  has  had  only  a  restricted  impact  so  far  due  to  its 
recent  launch  and  to  the  limited  budget  of  the  cross-sectoral  strand.  The  management  and  execution  of  the  programme  by  the 
EACEA  was  found effective. Surveys  from the EACEA revealed a  high level of  satisfaction,  while the error rate  has constantly 
been low. Additional gains have been made by e-applications and use of lump sums. 

Several  studies  were  completed  in  2017  on  the  audiovisual  sector.  The  European  Audiovisual  Observatory,  co-financed  by 
MEDIA, conducted  several studies: "European works on VOD" to provide the figures on the share of European works on VOD; 
"Simulcast and catch-up TV services" (pilot) to assess the cross-border availability of catch-up TV services; "Licensing systems" to 
provide  an overview of licensing  systems in the EU; "Circulation of films" to measure the exchange of  films between European 
countries;  "TV fiction production" to measure the volume of TV fiction production in Europe.   

Also  a  performance  audit  was  carried  out  on  the  Access  to  Markets  scheme  of  MEDIA.    This  concluded  that  the  scheme  is 
generally  working  well and provides added value by enabling professionals, in particular from low capacity countries, to benefit 
from access to the European audio-visual markets and professional networks which they would not otherwise have had. However,  
the objectives should be formulated in more operational terms in order to measure their achievement.   

Each  year,  ex-post  evaluations  of  the  Capitals  of  Culture  of  the  previous  year  are  conducted.  The  external  ex  post  evaluation 
conducted in 2017 has shown that the two title-holders in 2016 – Wroclaw (Poland) and Donostia San Sebastian (Spain) – derived 
substantial economic, social and cultural benefits from the title392. 

Forthcoming implementation (2018-2019) 

The  programme  will  continue  to  be  implemented  according  to  its  7-year  schedule,  with  more  focus  on  evaluation  and  evidence 
emanating from the mid-term evaluation and results of finalised projects.  

391 Article 18.3 of the Creative Europe legal base requires the Commission to submit a mid-term evaluation report by 31 December 2017. 
392 https://ec.europa.eu/programmes/creative-europe/sites/creative-europe/files/files/ecoc-2016-evaluation-en_0.pdf f 

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The MEDIA 2019 Work Programme  will propose  simplification  and streamlining of implementation in order to further improve 
cost-effectiveness.    By  grouping  together  beneficiaries,  the  size  of  grants  can  by  scaled  up,  thus  reducing  the  fragmentation  of 
funding and the cutting the overall number of small or micro transactions.  This will help reduce the administrative overheads of the 
Executive Agency and free human resources for project monitoring, data collection and enhancing dissemination and visibility  of 
results.  Other  measures  will  include  refocusing  the  support  to  distribution  on  films  with  the  greatest  potential  to  reach  wider 
audiences.    Also,  the  WP  2019  takes  the  first  steps  in  implementing  the  Digital4culture  strategy  which  was  announced  at  the 
Gothenburg Summit on education and culture policies. 

As  regard  to  the  2019  Work  Programme  for  the  Culture  sub-programme,  the  balance  of  40-60%  between  small  and  large 
cooperation projects will continue to be implemented allowing more small cooperation projects to be supported without losing  the 
structuring effect of the large scale projects.  Both the newly selected and the  strengthened European Networks and Platforms 
will  be  reinforced  in  terms  of  visibility,  synergies  and  sustainability  and  their  input  into  the  policy  discussion  around  the  new 
generation  of  programmes  particularly  valuable.  The  literary  translation  scheme  will  be  rendered  more  effective  by  encouraging 
even more the circulation of the books in order to reach more readers and more audience.  

The valorization of Culture's special actions such as the European Heritage Label, the Heritage Days, and the new concept for 
the four European prizes (architecture, music, heritage and literature), the support to the  European Union Youth Orchestra or 
the  Capitals  of  Culture  will  render  those  activities  into  real  European  public  goods  with  visible  return  for  European  citizens. 
Equally, the legacy of the 2018 European Year of Heritage will be visible, as of mid-2018, in the 25 cooperation projects selected 
under the special call launched in 2017.  

In political terms, this will be followed up by an Action Plan for Cultural Heritage; The mobility fund for culture and creative 
professionals  which  will  start  as  a  pilot  action  in  2018  will  see  its  first  results  in  2019.  The  implementation  of  the  Preparatory 
Action  'Music  Moves  Europe:  Boosting  European  music  diversity  and  talent'  will  provide  input  for  the  design  of  the  future 
programme; it will also have an intrinsic link to the European Agenda for Culture to be adopted on 2 May 2018. 

As  regards  the  cross-sectoral  strand,  the  Guarantee  Facility  has  a  budget  of  120  million  euros  for  the  period  2014-2020.  The 
leverage  effect  is  estimated  at  1:5,7  leading  up  to  a  total  financial  volume  of  approximately  600  million  euros  for  support.  It  is 
expected  to  leverage  credit  to  1  500  beneficiaries  from  5  sub-sectors,  from  7  participating  countries.    Given  the  strong  market 
demand, the European Fund for Strategic Investment is preparing a second top up of 100 million euros. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1295/2013 of the European Parliament and of the Council of 11 December 2013 
establishing  the  Creative  Europe  Programme  (2014  to  2020)  and  repealing  Decisions  No 
1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 - 2020 

1 462,7 

Administrative support 
Operational appropriations 
Executive Agency 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

2,1 
167,6 
12,2 
181,9 

2,2 
163,8 
11,7 
177,7 

2,2 
177,4 
12,2 
191,8 

2,3 
194,4 
12,2 
208,9 

2,4 
215,8 
12,2 
230,4 

2,6 
225,2 
12,1 
239,8 

2,7 
229,4 
12,3 
244,4 

Total 
Programme 
16,6 
1 373,5 
84,9 
1 475,0 

2017 

2018 

CA 
208,912 

Impl. Rate 
100,00 % 

PA 
184,559 

Impl. Rate 
99,03 % 

CA 
230,386 

Impl. Rate 
19,92 % 

PA 
178,485 

Impl. Rate 
14,47 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted  appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

95,66 % 

20,06 % 

14,77 % 

98,46 % 

240,113 

199,847 

221,108 

192,025 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 

4. Performance information 
General objectives 

General  Objective  1: to  safeguard,  develop  and  promote  European  cultural  and  linguistic  diversity  and  to  promote  Europe's 
cultural heritage 

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Indicator  1: the  number  of  people  accessing  European  cultural  and  creative  works,  including,  where  possible,  works  from 
countries other than their own 

Baseline 
2013393 

Milestones 

Target 2020 

2014 

2015 

2016 

2017 

2018 

2019 

Europeans declaring that they benefited from the following items 
from another European country: 
1. 
2. 

160 million read a book (31%); 
140 million watched or listened to a cultural programme on 
TV/radio (27%); 
98 million visited a historical monument or site (19%); 
67 million went to a musical performance (13%); 
52 million attended a performance, festival, etc (10%); 
31 million saw a ballet, dance performance, or opera (6%); 
21 million went to a theatre performance (4%) 

3. 
4. 
5. 
6. 
7. 

 To be assessed during 
mid-term evaluation 
on data until 2017 

  Increase of 2% in 
comparison to 
2017 results 

General  Objective  2: to  strengthen  the  competitiveness  of  the  European  cultural  and  creative  sectors,  in  particular  of  the 
audiovisual sector, with a view to promoting smart, sustainable and inclusive growth 
Indicator 1: the cultural and creative sectors' level, change in and share of employment and share of gross domestic product 

Baseline 
2010 
In 2010 between 3 % 
and 3,8 % of the total 
394
European workforce

2014 

2015 

2016 

2017 

Milestones foreseen 

Actual results 

2018 
In view of economic crisis, 
to safeguard 2010 figures 

2019 

Target 2020 

4 % of the total 
European workforce; 

In 2010 between 3,3 % and 
4,5 % of total European 
GDP395 

 2,9% of total number 
of people in 
employment 396 

Specific objectives 

4,8 % of total 
European GDP; 

Specific  Objective  1: to  support  the  capacity  of  the  European  cultural  and  creative  sectors  to  operate  transnationally  and 
internationally 
Indicator 1: the scale of international activities of cultural and creative organisations and the number of transnational partnerships 
created 

Baseline 
2012 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones 

Target 2020 

7 000 transnational 
partnerships involving at least 
3 countries, latest known result 
at end 2012 

available 
as of 2017-
18 

310 from MEDIA 
426 from Culture 
sub-programme 

7 600 

Creation of 8 000 transnational 
partnerships involving at least 3 
countries 

Actual results 

10 094 

Indicator 2: the number of learning experiences and activities supported by the Programme which have improved the competences 
and increased the employability of cultural and creative players, including audiovisual professionals 

Baseline 
2012 

140 000 professionals with 
learning experiences 

2014 

2015 

2016 

2017 
190 000 

2018 

2019 

Milestones foreseen 

Actual results 

Not available 

Target 2020 

240 000 professionals 
with learning 
experiences 

Expenditure related outputs 

Outputs 

MEDIA Sub-Programme: 
New skills and networking: number of courses/workshops/events 
Development of audiovisual projects (including TV production): number of projects 
Support to co-production funds: number of co-production funds supported 
Audiovisual markets, promotion tools and stands: number of projects 

Budget line 

Draft Budget 2019 

Number 

EUR million 

09 05 01 
09 05 01 
09 05 01 
09 05 01 

52 
300 
5 
65 

7.5 
34.7 
3.0 
9.0 

393 Source: Special Eurobarometer 399 on Cultural Access and Participation (2013).The population used for extrapolating the number of people covers the EU-28 as 
well as CH, NO and IS i.e.: 516,8 million people. 
394 3,3 % of EU's active population (TERA consultants 2014, http://www.teraconsultants.fr/en/issues/The-Economic-Contribution-of-the-Creative-Industries-to-EU-
in-GDP-and-Employment 
3,8 % of EU workforce (Ernst and Young France 2014, http://www.creatingeurope.eu/en/wp-content/uploads/2014/11/study-full-en.pdf 
395 4,2 % of EU GDP (TERA consultants 2014); 4,4 % of EU GDP (Ernst and Young France 2014) 
396 Culture statistics, 2016 edition, Eurostat 

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Outputs 

Budget line 

Total 
CULTURE Sub-Programme: 
Cooperation measures, such as activities stimulating peer learning + Support to Project selection 
European networks, such as those providing capacity building 
European platforms, such as those providing a structure for international professional 
development 
Special actions, such as Prizes397 
Total 

15 04 02 
15 04 02 
15 04 02 

15 04 02 

Draft Budget 2019 

Number 
422 

EUR million 
54.2 

40 
16 

7 

7 
67 

18.5 
4.3 

3.8 

6.3 
32.9 

Outputs 

MEDIA Sub-Programme: 

New skills and networking: number of 
courses/workshops/events 

Development of audiovisual projects (including TV 
production): number of projects 

Support to co-production funds: number of co-
production funds supported 

Audiovisual markets, promotion tools and stands: 
number of projects 

CULTURE Sub-Programme: 

Cooperation measures, such as activities stimulating 
peer learning 

European networks, such as those providing capacity 
building 

European platforms, such as those providing a 
structure for international professional development 

Special actions, such as Prizes398 

F 
P 
F 
P 
F 
P 
F 
P 

F 
P 
F 
P 
F 

P 

F 
P 

2014 

45 
59 
359 
345 
7 
5 
51 
48 

40 
40 
10 
16 
4 
3 

6 
5 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2015 

2019 

50 
58 
345 
299 
5 
5 
64 
61 

48 
30 
- 
- 
5 
2 

7 
7 

48 
54 
350 
280 
5 
6 
56 
62 

37 
37 
17 
19 
4 
4 

4 
5 

53 
53 
300 
278 
6 
5 
66 
69 

44 
21 
10 
10 
4 
7 

7 
4 

54 

300 

5 

66 

35 

20 

7 

15 

52 

300 

5 

65 

40 

16 

7 

7 

2020 

57 

300 

5 

66 

53 

10 

4 

7 

Justification of changes to the financial programming and/or to the performance information 

Media Sub-programme 
Support to co-production funds in the WP 2018 was raised to €1.5 million.  For the WP 2019 it is intended to  have one Call for Proposals 
covering two years 2019-2020 to reduce administrative burden.  Therefore the WP 2019 allocation is doubled to €3 million. 

Culture Sub-programme 
Networks are supported under FPA. They are not requested to ask for the full amount from year 1, though they have to keep the same level of 
co-financing. Their support can thus go up to 250.000 euros per year maximum, which needs to be foreseen. This is true for platforms as well, 
with a maximum of 500.000 euros per year. 

Specific Objective 2: to promote the transnational circulation of cultural and creative works and transnational mobility of cultural 
and creative players, in particular artists, as well as to reach new and enlarged audiences and improve access to cultural and creative 
works in the Union and beyond, with a particular focus on children, young people, people with disabilities and under-represented 
groups 
Indicator 1: MEDIA Sub-programme: the number of admissions for non-national European films in Europe and European films 
worldwide (10 most important non-European markets) in cinemas 

Baseline 
2010 

69 million in Europe; 
61 million 
worldwide399 

Milestones foreseen* 

2014 

2015 

2016 

2017 
71 million in 
Europe; 
85million 
worldwide 

2018 

2019 

71 million in 
Europe; 
85million worldwide 

Actual results400 

Target 2020* 

71 million in 
Europe; 
85 million 
worldwide 

397 The four prizes in the areas of music, architecture, heritage and literature aim particularly at the circulation of artists and their works across borders. 
398 The indicator has been adapted to reflect the emerging reality of the scheme. This figure now takes into account only the four prizes. 
399 The definition of the indicator as defined by the legal basis specifies the meaning of "worldwide" (=10 most important non-European markets).  Although the size 
of  the  market  worldwide  may  be  bigger,  the  circulation  of  European  films  beyond  European  boarders  is  so  much  lower  than  in  Europe  that  the  number  of 
admissions may be higher in Europe than worldwide (in the 10 most important non-European markets). 

400 It should be noted that figures about cinema audiences are inherently unpredictable. In fact over the last five years the average corresponds to the baseline.  There 
is no evidence to suggest a structural rise in cinema tickets sold, especially given the rise of digital distribution e.g. Netflix,  which was not the case  when the 
indicators were first established. Therefore the milestone and target have been revised to maintain the current levels. 

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99 million in Europe; 
82 million worldwide 

91 million in 
Europe;  1 0 8  
million 
worldwide 

70 million in 
Europe and 68 
million 
worldwide 

Indicator  2: MEDIA  Sub-programme:  the  percentage  of  European  audiovisual  works  in  cinemas,  on  television  and  on  digital 
platforms 

Baseline 
2009&2010 

2014 

2015 

2016 

Milestones foreseen 
2017 
Maintain 59% for 
cinemas and 39% for 
TV and 27% for 
digital platforms 

Actual results 

2018 
Maintain 59% for 
cinemas and 39% for 
TV and 27% for 
digital platforms 

2019 

Target 2020 

Maintain 59% for 
cinemas and 39% for 
TV and 27% for digital 
platforms 

59 % for cinemas 
39 % for TV 
27 % for digital 
platforms (2015) 

52% for cinemas 
38% for TV 
(2013) 

65% for cinemas 
31% for TV 
27% for digital 
platforms 

62% for cinemas 
28% for TV 
20% for digital 
platforms 

Not yet available 

Indicator  3: MEDIA Sub-programme: the number of people in the Member States accessing non-national European  audiovisual 
works and the number of people in the countries participating in the Programme accessing European audiovisual works 

Baseline 
2009 
288 million people in 
the EU accessing non-
national European 
audiovisual works 
 298 million people in 
the participating 
countries  accessing 
European audiovisual 
works401 

2014 

2015 

2016 

2017 

Milestones foreseen 

288 million in the EU 
and 300 million in the 
participating countries 

Actual results 

287 million  
291 million 

293 million 
298 million 

258 million 
262 million 

Not yet available 

2018 
288 million in the 
EU and 300 million 
in the participating 
countries 

2019 

Target 2020 

288 million in the EU 
and 300 million in the 
participating countries 

Indicator  4: MEDIA  Sub-programme:  the  number  of  European  video  games  produced  in  the  Union  as  well  as  in  the  countries 
participating in the Programme 

Baseline402 

2014 

2015 

in EU EUR 21,3bn; in 
5 biggest markets 
EUR 13,35bn 

in EU EUR 22bn; in 5 
biggest markets EUR 
15bn 

Not yet 
available 

Milestones foreseen 
2016 

2017 
in EU EUR 25bn; in 5 
biggest markets 
 EUR 14,5bn 

Actual results 

2018 

2019 

Target 2020 

in EU EUR 30bn; in 5 
biggest markets 
 EUR 16bn 

Indicator  5: Culture  Sub-programme:  the  number  of  people  directly  and  indirectly  reached  through  projects  supported  by  the 
Programme 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

No baseline, first known 
results (2017)  available in 
2018  

To be assessed during mid-term 
evaluation of the programme based on 
data until 2017 and subsequently during 
the impact assessment in 2017/2018 

Actual results 

3,2 mio 

Target 2020 

Increase of 5% in 
comparison to 2017 
results 

Indicator  6: Culture  Sub-programme: the number of projects  addressed to children,  young people and  under-represented groups 
and the estimated number of people reached 

Baseline 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

401 The second figure covers both national and non-national European audiovisual works. In addition to EU Member States, two third countries participate in the 

sub-programme MEDIA for the time being i.e. Norway and Iceland. 

402 The turn-over of the video-game sector is the best available proxy for this indicator. The number of video-games produced in Europe is currently unavailable. 
Considering that tasks related to the development and production of one single game are usually split across several countries within and outside the EU, there is no 
accepted definition of what should be considered as a European video-game. Furthermore being the video-game industry highly competitive, data such geographical 
spread of the workforce are not accessible. 

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36.0 
10.9 
3.2 
1.0 
10.0 
61.1 

26.1 
2.9 
3.8 
3.6 
2.0 
38.4 

2020 

No baseline, first known 
results (2017)  available in 
2018 for the first time 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

To be assessed during mid-term 
evaluation of the programme based on 
data until 2017 and subsequently during 
the impact assessment in 2017/2018 

Actual results 

1,6 mio 
young 

Increase of  7 % in 
comparison to 2017 
results 

In contrast to previous programmes, the design of the new application e-forms and final reports will make it possible under Creative Europe to 
collect this information for the 4 measures under the Culture Sub-programme. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

MEDIA Sub-programme: 
Distribution campaigns of European Non National films: number of projects 
Network of cinemas screening majority of European films: number of cinema networks 
Film festivals and events: number of festivals and events 
Film literacy initiatives: number of projects 
New marketing and advertising tools: number of projects establishing e.g. film community platforms 
Total 
CULTURE Sub-programme: 
Cooperation measures, such as those supporting international touring 
European networks, such as those promoting audience building 
European platforms, such as those fostering international careers 
Literary translations and promotional support 
Special actions, such as ECOC, European Heritage label and Heritage Days 403 
Total 

09 05 01 
09 05 01 
09 05 01 
09 05 01 
09 05 01 

15 04 02 
15 04 02 
15 04 02 
15 04 02 
15 04 02 

1 130 
1 
65 
1 
35 
1232 

55 
12 
8 
62 
3 
140 

Outputs 

MEDIA Sub-Programme: 

Distribution campaigns of European Non National 
films: number of projects 

Network of cinemas screening majority of European 
films: number of cinema networks 
Film festivals and events: number of festivals and 
events 

Film literacy initiatives: number of projects 

New marketing and advertising tools: number of 
projects establishing e.g. film community platforms 
CULTURE Sub-Programme: 
Cooperation measures, such as those supporting 
international touring 

European networks, such as those promoting audience 
building 
European platforms, such as those fostering 
international careers 

Literary translations and promotional support 

2014 

820 

1 077 

1 
1 
72 
85 
10 
16 
11 
17 

F 

P 

F 
P 
F 
P 
F 
P 
F 
P 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

60 
23 
15 
7 
6 
5 
59 
76 
9 
5 

Number of outputs foreseen (F) and produced (P) 
2017 

2016 

2018 

2019 

2015 

754 

1 065 

677 

1 089 

1 100 

1 041 

1 130 

1  130 

1130 

1 
1 
87 
88 
13 
12 
13 
18 

1 
1 
77 
66 
14 
16 
17 
22 

1 
1 
67 
65 
14 
7 
30 
37 

71 
54 
- 
- 
6 
3 
63 
69 
9 
9 

43 
34 
4 
4 
6 
4 
60 
60 
5 
2 

66 
60 
15 
18 
6 
8 
45 
45 
11 
3 

1 

67 

14 

30 

46 

10 

8 

60 

1 

65 

1 

35 

55 

12 

8 

62 

1 

67 

15 

15 

79 

37 

13 

45 

Special actions, such as ECOC, European Heritage 
label and Heritage days404 
Regarding literary translations, projects applied on average for a lower amount than expected and therefore more of them could be supported. 

14 

14 

3 

Justification of changes to the financial programming and/or to the performance information 

MEDIA Sub-Programme 
In 2018, Film Literacy projects were selected for 2 years.   
The WP 2019 will look for one big project linked to the European Year of Cultural Heritage. 

CULTURE Sub-Programme 

403 The capitals of culture (Melina Mercouri Prize) as well as the Heritage Days aim particularly at increasing the capacity of the sector of reaching a wider audience. 
There is no selection for heritage labels in 2019. 
404 This indicator has been adopted in order to include the special actions Heritage Label, Heritage Days and the ECOC. 

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A budget of 1 M EUR caters for the promotion of EU values through music and the structured dialogue. 
The outputs figures of the Special actions scheme have been reviewed to take into account the specificity of the Scheme: 2 European Capital of 
Culture, and the European Heritage Label day event.  
As regard the European Heritage Label day event, it should be noted that the number of selected heritage label sites changes according to rhythm 
of the selection of sites, and can vary from 0 to 24 from year to year.  
Specific Objective 3: to strengthen the financial capacity of SMEs and micro, small and medium-sized organisations in the cultural 
and creative sectors in a sustainable way, while endeavouring to ensure a balanced geographical coverage and sector representation 
Indicator 1: the volume of loans guaranteed in the framework of the Guarantee Facility, categorised by national origin, size and 
sectors of SMEs and micro, small and medium-sized organisations 

Baseline 
2013 

2014 

2015 

20 million EUR guaranteed 
loans (MEDIA Production 
Guarantee Fund, end 2013)405 

2016 

Milestones foreseen 
2017 
180 million 
EUR 

Actual results 

none 

2018 
250 million 
EUR 

2019 

Target 2020 

0,5 billion EUR 

Indicator 2: the volume of loans granted by participating financial intermediaries, categorised by national origin 

Baseline 
2013 

2014 

2015 

2016 

35 million EUR guaranteed 
loans  (MEDIA Production 
Guarantee Fund, end 2013)406 

none 

Milestones foreseen 

2017 
Higher by 30 % than the 
milestone set for the 
previous indicator 

2018 
Higher by 30% than the 
milestone set for the 
previous indicator 

Actual results 

2019 

Target 2020 

Higher by 30 % 
compared to the target 
set for the previous 
indicator 

Indicator 3: the number and geographical spread of participating financial intermediaries 

Baseline 
2012 
2 financial institutions from 2 
Member States (MEDIA 
Production Guarantee Fund, end 
2012) 

2014 

2015 

2016 

2 

Milestones foreseen 
2017 
7 financial institutions from 5 
Member States 
Actual results 

2018 

2019 

8 from 6 MS 

9 from 8 MS 

Target 2020 

10 financial 
institutions from 10 
Member States 

Indicator  4: the  number  of  SMEs  and  micro,  small  and  medium-sized  organisations  benefiting  from  the  Guarantee  Facility, 
categorised by national origin, size and sectors 

Milestones foreseen 
2017 

1 500 beneficiaries from 5 sub-
sectors, from 7 participating 
countries 

Actual results 

2018 
3 000 beneficiaries 
from 5 sub-sectors, 
from 10 participating 
countries 

2019 

Target 2020 

7 000 beneficiaries 
from 5 sub-sectors, 
from 15 participating 
countries 

Baseline 
2013 

2014 

2015 

2016 

48 beneficiaries from 
audiovisual sector from 8 
Member States (MEDIA 
Production Guarantee Fund, end 
2013)407 

Indicator 5: the average default rate of loans 

Baseline 
2011 

10 % (estimated) 

2014 

2015 

0 

Milestones foreseen 
2017 
2016 

Actual results 

none 

Baseline 
2011408 

1:5,7 (estimated) 

2014 

2015 

Expenditure related outputs 

Outputs 

Number of loans provided by banks to operators 
Number of capacity building workshops 
Total 

Milestones foreseen 
2017 
2016 
1:5,7 

Actual results 

0 

Budget line 

15 04 01 
15 04 01 

2018 
9 % 

2019 

Target 2020 

2018 
1:5,8 

2019 
1:5,9 

8 % 

Target 2020 

1:6 

Draft Budget 2019 

Number 
1 800 
5 
1805 

EUR million 
29.1 
0.5 
29.6 

Indicator 6: the achieved leverage effect of guaranteed loans in relation to the indicative leverage effect (1:5,7) 

405 Breakdowns by national origin, size and sectors of SMEs or organisations and by participating financial intermediaries categorised by national origin are 

provided in the annual report from the European Investment Fund.  

406 Breakdowns by national origin are provided in the annual report from the European Investment Fund. 
407 Breakdowns by national origin, size and sectors of SMEs or organisations are provided in the annual report from the European Investment Fund.  
408 There is no EU wide financial instrument for the sector. An estimated ratio of 1:5,7 according to the ex-ante impact assessment for the Creative Europe 

programme. 

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Outputs 

Number of loans provided by banks to 
operators410 

Number of capacity building workshops411 

2014 
0 
0 
0 
0 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
705 
207 
6 
0 

2016409 
281 
0 
7 
0 

2018 
1 198 

2015 
0 
0 
0 
0 

5 

5 

2019 
1 800 

2020 
2 335 

5 

Justification of changes to the financial programming and/or to the performance information 

Given that there were no transactions under the Guarantee Facility in 2016, the number of outputs produced in 2016 is 0. The first 
agreements with the intermediaries were signed in January 2017. 

Specific  Objective  4: to  foster  policy  development,  innovation,  creativity,  audience  development  and  new  business  and 
management models through support for transnational policy cooperation 
Indicator 1: the number of Member States making use of the results of the open method of coordination in their national policy 
development 

Baseline 
2013 

2016 
14 
Actual results 
14 
12 
Indicator 2: the number of new initiatives and policy outcomes 

10 Member States 

2014 
12 

2015 
13 

13 

Milestones foreseen 

2017 
15 

2018 
16 

2019 
17 

Baseline 
2012 

N/A 

2014 

2015 

Milestones foreseen 

2017 

2018 

2019 

2016 
10 
Actual results 

Target 2020 

20 

Target 2020 

20 

Expenditure related outputs 

2 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

Network of Creative Europe desks 
Studies, evaluations and policy analysis (includes also the subsidy for the European Audiovisual 
Observatory) 
Transnational exchanges and networking 
Testing new cross-sectoral approaches 
Conferences, seminars and policy dialogue 
Total 

15 04 01 

15 04 01 

15 04 01 
15 04 01 
15 04 01 

28 

7 

1 
1 
5 
42 

Outputs 

Network of Creative Europe desks (EAC)412 

Studies, evaluations and policy analysis 
 (This also includes the European audiovisual 
observatory) (co-manage) 
Transnational exchanges and networking 
(co-manage) 
Testing new cross-sectoral approaches 
 (CNECT)  
Conferences, seminars and policy dialogue 
(co-manage) 

2014 
28 
28 
4 

1 

1 
2 
- 
0 
4 
4 

F 
P 
F 

P 

F 
P 
F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
28 
28 
6 

2016 
28 
28 
6 

2018 
28 

2015 
28 
28 
8 

7 

7 

2019 
28 

2 

1 
1 
- 

5 
1 

4 

1 
1 
1 
0 
6 
5 

1 

1 

1 

6 
3 

1 

1 

5 

1 

1 

5 

Justification of changes to the financial programming and/or to the performance information 
Mapping of policy development studies for cultural industries such as publishing, fashion or cultural tourism.- 

409 The first agreements with the intermediaries were signed in January 2017. 
410 Data from end Q3 2017. Annual data will be available in March 2018. 
411 Start up of capacity building is 2018. 
412 The two (2) Belgian desks are counted as one (1). 

4.7 

1.1 

0.7 
1.4 
1.1 
9.0 

2020 
28 

4 

- 

- 

4 

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5. Programme contribution to the Sustainable Development Goals 

SDG 8 - Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work 
for all. 
The programme contributes to the political priorities of the Commission, in particular relating to jobs, growth and investment and 
the  European  Digital  Single  Market  by  supporting  the  competitiveness  of  the  cultural  and  creative  sectors,  in  particular  the 
audiovisual sector, through capacity building and skills development and through testing new business models in a rapidly evolving 
digital  context.  By  allowing  participation  of  non-EU  cultural  and  creative  operators  and  the  participation  of  third  countries,  the 
programme  also  contributes  to  making  the  EU  a  stronger  global  actor.  At  another  level,  Creative  Europe  helps  address  current 
political and societal challenges through the power of culture to reach the hearts and minds of citizens and boost confidence in our 
shared European values.   

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

 The  Cultural  and  Creative  Sectors  Guarantee  Facility  (CCS  GF)  under  Creative  Europe  is  a  facility  under  which  the  European 
Commission  through  the  European  Investment  Fund  (EIF)  will  provide  guarantees  and  counter-guarantees  on  debt  financing  to 
Financial Intermediaries in order to improve access to finance to SMEs from cultural and creative sectors. Thanks to the CCS GF, 
Financial intermediaries selected by the EIF will be able to provide additional debt financing to SMEs in Participating Countries. In 
addition,  the  action  will  provide  expertise/capacity  building  to  the  financial  institutions  wishing  to  build  dedicated  portfolios  of 
loans targeting cultural and creative SMEs. This may result in an increase in the number of financial institutions which are  willing 
to  work  with  cultural  and  creative  SMEs  as  well  as  maximising  the  European  geographical  diversification  of  targeted  financial 
products  for  the  sector.  With  a  total  budgetary  appropriation  for  CCS  GF  of  EUR  121million  in  the  2016-2020  period  and  a 
targeted leverage effect of 5,7 the financial instrument may leverage around EUR 690 million of additional funding or the cultural 
and  creative  industries.  A  top-up  of  EUR  60  million  from  EFSI  was  agreed  in  2017  and,  given  the  strong  market  demand,  the 
European Fund for Strategic Investment is preparing a second top up of EUR100 million.  

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Statement on Financial Intervention of the Communication Policy Area 
Lead DG: COMM 

I. Programme Overview 

What the programme is about? 
The  legal  basis  of  the  activities  of  the  Directorate  for  Communication  (DG  COMM)  is  rooted  in  the  Commission's  institutional 
prerogatives.  These  cover  DG  COMM's  communication  products  and  services  directly  addressed  to  citizens  as  well  as  DG 
COMM's executive and corporate services provided to the President, the College of Commissioners and across the communication 
domain of the Commission services, aligning the Commission's communications to the political priorities of the Commission 

EU added value of the programme 

Joined-up, corporate communication of EU policies contributes to achieving a better image of the Commission / European Union 
by raising public awareness about the EU as a whole, its values and its works to address current issues, in line with the 10 political 
priorities  set  out  by  the  President  and  detailed  by  the  Commission  in  the  annual  Commission  Work  programme  (CWP);  this 
includes  further  alignment  of  political  and  corporate  communication  as  well  as  synergies  and  efficiencies  across  the 
communications  domain  of  the  Commission  (for  example  new  EUROPA  website  or  partial  centralisation  of  communication 
framework contracts). 
DG COMM's communication products and services directly addressed to citizens413 provide information for and engagement with 
citizens  and  ensure  communication  services  for  citizens  are  made  available  through  simple,  clear  and  understandable  messages, 
either via a mix of channels and media (traditional and new) or by directly communicating with citizens and stimulating exchange 
and engagement face to face. Together, this helps citizens to access up-to-date and user-friendly information on European Union 
policies and EU values. It contributes to citizens' increased awareness and understanding of European affairs; in turn, stimulating 
citizens' interest to directly engage with "the faces of the Commission" be it locally, nationally or Europe-wide. 
DG  COMM's  corporate  communication  products  and  services414  are  provided  to  the  external  communication  domain  of  the 
Commission and reflect its role as domain leader in external communication, ensuring coherence in the Commission's messaging 
by  aligning  all  Commission  communication  services  to  contribute  to  a  coherent  and  effective  corporate  communication  on  the 
political priorities. This leads, step by step, to the definition of clearer corporate messages/narratives and distinctive visual branding 
(eventually brand recognition) and economies of scale, thus contributes to achieving a better image of the Commission / EU. 
DG  COMM's  executive  services415  are  provided  to  the  President  and  the  College  of  Commissioners  in  support  of  the 
communication  efforts  of  President,  College,  Spokesperson's  Service,  and  Commission  senior  management  by  ensuring  political 
and economic intelligence and media advice, and by feeding high quality country specific information and analysis from a variety 
of  sources  into  the  Commission's  decision  making  process.  This  leads,  ultimately,  to  better  informed  European  Union  policy 
making for citizens. 

II. Programme Update 

Implementation Status (2014-2017) 

DG COMM Work Programme 2017 (= Financing Decision) was implemented as planned. DG COMM 2017 operational budget 
overall implementation rate is very close to 100 %. 

Key achievements 

DG  Communication  Headquarters  together  with  the  Spokesperson’s  Service  and  the  Representations  in  the  Member  States 
communicate with the media, stakeholders and citizens' about issues of European policy and their direct impacts on citizens daily 
activities. As per its AAR reporting DG COMM achievements in 2014 to 2017 is general and strategic objectives (defined in it's 
Strategic and Management Plans). Some examples of these achievements in 2017, the overall goal being to communicate simple, 
clear and understandable messages to citizens, are: 

 

2017 saw a sharp increase of Citizens' Dialogues where President Juncker and the Commissioners along with Members of the 
European  Parliament  and  Committee  of  the  Regions  including  the  Presidents  and  national  and  regional  politicians  engaged 
with citizens (over 300 Dialogues, thus doubling the target). The Dialogues serve as an important channel to trigger a broad 
debate on the future of Europe. 

413 Communication services for citizens include media support for the SPP, audiovisual and multimedia productions, Visitors Centre, Information outlet and Call 
Centre services, Representations' outreach and information events, back to school activities, and citizens dialogues / democratic conventions (cf. State of the Union 
Speech 13/09/2017). 
414 Corporate services include service mode of the new Europa website, implementation of corporate communication actions (campaigns and flanking measures), 
alignment/coordination of networks, central management of communication framework contracts and professionalisation measures as well as identifying further 
potential for Synergies & Efficiencies and Pooling & Sharing. 
415  Executive  services  include  activities  creating  media  coverage  and  management  of  technical  facilities  (e.g.  studios)  related  to  Commissioners'  visits  and 
roadshows  as  well  as  Representations  political  and  economic  reporting/analysis,  analysis  of  stakeholder/citizens  feedback,  Eurobarometer  polls  and  media 
monitoring and analysis). 

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  Modernisation of the web presence of the Commission continued in 2017 as visible on the Europa website, which previously 
reflected the Commission's organisational structure and which is now, thanks to the digital transformation work carried out by 
DG Communication, organised thematically in a way that better corresponds and serves the needs of the citizens allowing them 
to easily find what interests them the most. In 2017 more than 140 million unique visitors to the Europa website were counted. 

  Audio-visual  productions  and  multimedia  projects  for  the  general  public  are  now  clearly  focused  on  the  10  priorities  of 
President Junker, entailing fewer productions but of a higher quality and better serving  general communication objectives: 
the number of audio-visual products provided to the College went up from 647 in 2016 to 738 in 2017, 
the number of TV uptakes from Europe by Satellite (in minutes) went up from 64,000 in 2016 to 70,600 in 2017, 
Investments  in  the  media  library  activity  have  been  made  in  2017.  Conservation  and  availability  to  the  public  of 
audio-visual  material  (audio,  video  and  photo)  via  the  Media  Library  has  increased  from  50.000  items  in  2016  to 
60.000 in 2017. 

o 
o 
o 

 

 

 

 

 

 

22%  increase  in  followers/fans/subscribers  on  social  media  corporate  accounts  (from  4,0  million  in  2016  to  4,9  million  in 
2017). 

In 2017, 65 publications, including the General Report, where produced for which over 800,000 copies where disseminated for 
use during EU summits, Citizens' Dialogues, and events organised by Representations and Europe Direct Information Centres'. 

In 2017, satisfaction rate on queries replied by the Europe Direct Contact Centre reached 87%. 

In 2017, 93% of the visitors to the Commission’s Visitors’ Centre declare themselves “very satisfied” with the visits. 

In 2017, the number of events organised at Representations and European Public Spaces increased – with a 75% of participants 
agreeing that the event improved their knowledge on EU issues. 

In 2017, about 60,000 pupils were addressed during "Back to school" events (double compared to the 2017 target). 

Evaluations and studies 

In 2017, DG Communication concluded three studies on ‘Monitoring and Evaluation of Citizens’ Dialogues’, ‘Share Europe Online 
local projects’ and ‘Monitoring of Europe Direct Information Centres communication activities’. The results of these studies were 
integrated in the management of these actions.  

In  addition  to  this,  three  evaluations  carried  out  by  DG  Communication  reached  the  stage  of  the  drafting  of  Staff  Working 
Documents: the ‘Evaluation of the Visitors’ Centre’, the ‘Mid-term evaluation of the Europe Direct Information Centres’ and the 
‘Evaluation of the European Parliament and European Commission cooperation in communication in the Member States’. As soon 
as  the  Inter-service  consultation  of  the  Staff  Working  Document  procedures  will  be  concluded,  their  results,  including  the 
contractors’ final reports, will be published and follow-up plans will be drafted. 

Forthcoming implementation (2018-2019) 

In 2018, the Directorate-General for Communication will further optimise the Commission's web presence to increase coherence, 
relevance and cost-effectiveness under the Digital Transformation programme. The focus will be on: 

  The introduction and enforcement of a new governance, 
  The alignment of web sites across the Commission, including Executive Agencies, 
  The standardisation of the Information Technology solutions. 

In  2018,  the  Directorate-General  for  Communication  as  domain  leader  for  external  communication  will  steer,  coordinate  and 
support  corporate  communication  activities  and  implementation  of  the  Synergies  and  Efficiencies  Communication.  In  2018,  the 
Social Media Team of the Directorate-General for Communication will further develop social media strategies centrally while also, 
providing  support  for  the  local  corporate  social  media  platforms  of  the  Commission.  This  includes  support  to  the  Commission's 
Social Media Network and the Representations, as well as monitoring and analysis of social media communication and data. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Task resulting from the Commission’s prerogatives at institutional level, as provided for in Article 54(2) of 
Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 
on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, 
Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support - Heading 3 
Operational appropriations - Heading 3 
Heading 5 appropriations 
Total 

1,2 
60,2 
8,8 
70,2 

1,2 
64,2 
9,0 
74,4 

1,0 
69,2 
8,9 
79,2 

1,1 
72,2 
9,1 
82,4 

1,1 
72,2 
9,0 
82,4 

1,2 
76,1 
9,0 
86,3 

1,3 
78,8 
8,8 
88,9 

8,1 
493,0 
62,6 
563,7 

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2. Implementation rates 

Voted appropriations 

67,076 

99,97 % 

62,247 

99,09 % 

67,203 

36,51 % 

66,441 

24,78 % 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

98,84 % 

36,34 % 

24,75 % 

99,49 % 

67,527 

63,152 

67,166 

67,476 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies -not applicable  

4. Performance information 

General objectives 

General Objective 1: Citizens perceive that the EU is working to improve their lives and engage with the EU. They feel that their 
concerns are taken into consideration in European decision making process and they know about their rights in the EU. 
Indicator 1: Percentage of EU citizens having a positive image of the EU 

Baseline 
(August 2014) 

39 %  

Milestones foreseen 

2014 

2015 

2016 

2017 
32% 

2018 
34% 

39 % 

37 % 

Actual results 
35% 

40%416 

2019 

Target 2020 

Positive  image of the 
EU  ≥ 50 % 

Specific objectives 

Specific  Objective  1: A  simple,  clear,  understandable  message  is  communicated  to  citizens  explaining  the  direct  impact  of  EU 
policies on their lives. 
Indicator 1: Percentage of the 100 top press releases consulted in EN with more than 10 000 online views 

Baseline 
2013 
43 % 
Source: Rapid reporting – 
DG COMM 

2014 

2015 
60 % 

Milestones foreseen 

2016 

2017 
65% 

Actual results 

2018 

2019 

Target 2020 

N/A 

65 % 
Justification of changes to the financial programming and/or to the performance information 
For Indicator 1: Since the statistical tool used by the Commission to track the online traffic has now changed and provides more 
accurate data this indicator is no longer in line with the reality of the Spokespersons' Service work. We therefore propose to replace 
for the future the current indicator " Percentage of the top 100 press releases consulted in English (EN) with more than 10 000 
online views " with "Number of online views of all press releases". 
Indicator 2: Number of multimedia productions downloads 

100% 

17%417  

Baseline 
2012 
96 143 
Source: AV Analytics and 
Web Analytics 

2014 

2015 
120 000 

2016 

2017 
150 000 

2018 
130 000 

2019 

Milestones foreseen 

Actual results 

Target 2020 

140 000 

146 094 

179 964 
Justification of changes to the financial programming and/or to the performance information 
For Indicator 2 :  The actual results are lower than foreseen, since 2016 the AV Corporate production team has refocused on the 10 priorities of President 
Juncker and by doing so, the number of productions has gone down. The aim is to go for fewer, but higher quality productions – each of them therefore 
requiring more production time. However, production is constantly adapted to the changing media environment, notably as regards formats needed for 
integrating into the increasing social media exchanges 

119 700 

112 326 

Indicator 3: Satisfaction rate on queries replied by the EUROPE DIRECT Contact centre 

Baseline 
2013 
82% 
Source: Ratings extracted from 
the EDCC citizens' enquiries 
database and submitted in 
monthly reports 

2014 

2015 

Milestones foreseen 
2017 
2016 
85% 

Actual results 

2018 
90% 

2019 

Target 2020 

90% 

83% 

87% 

84% 

87.5% 

416 As in autumn 2017, 40% of Europeans have a positive image of the EU; 37% have a neutral image, while the proportion of Europeans who have a negative image 
of the EU also remains unchanged at 21%. Ref Eurobarometer 88. 
417 Website reported data: As of 2017, data comes from a new web analytics tool(Europa Analytics) based on the open-source platform Piwik It provides more 
accurate reporting than the previous, older tool (SAS Analytics) and this is reflected in this year's reported data for all Europa websites. On average, the new 
corporate analytics tool records 60% less unique visitors and visits than the previous one. This is due mainly to document downloads and internal site searches being 
recorded as separate indicators in the tool (e.g. as 'downloads' and 'site searches'). See IPG:  http://ec.europa.eu/ipg/services/analytics/faq_en.htm#section_3_5 
Hence this indicator has been revised. 

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Indicator 4: Percentage of visitors to the Commission very satisfied with the visits 

Baseline 
2012 

69 % 
Source: forms filled in by 
each visiting group 

2014 

2015 

Milestones foreseen 
2017 
2016 
90% 

Actual results 

2018 
85% 

2019 

Target 2020 

90 % 

80 % 

90 % 

94% 

93% 

Indicator 5: Percentage of participants at Representations and European Public Spaces events agree  that the event improved their 
knowledge of EU issues 

Baseline 
2014 
71 % 
Source: based on responses to 
questionnaires distributed 
after events 

2014 

2015 

Milestones foreseen 
2017 
2016 
80% 

Actual results 

2018 
75% 

2019 

Target 2020 

75 % 

71 % 

77 % 

75% 

75% 

Indicator 6: Number of unique visitors to the EUROPA website 

Baseline 
2014 

258 298 695 
Source: SAS Analytics 2017: 
Europa Analytics 

2014 

2015 

258 298 695  233 635 832 

Milestones foreseen 
2017 
2016 
300 000+  130 000 000 

2018 

Actual results 

258 298 695  233 635 832 

220 420 315 

140 053 076  

2019 

Target 2020 

120 000 000 

Justification of changes to the financial programming and/or to the performance information 
For Indicator 6: The actual results are lower than foreseen since 2017, the website data comes from a new web analytics tool (Europa Analytics) based on the open-
source platform Piwik.  It provides more accurate reporting than the previous, older tool (SAS Analytics) and this is reflected in this year's reported data for all 
Europa websites. On average, the new corporate analytics tool records 60% less unique visitors and visits than the previous one. This is due mainly to document 
downloads and internal site searches being recorded as separate indicators in the tool (e.g. as 'downloads' and 'site searches'). See IPG:  
http://ec.europa.eu/ipg/services/analytics/faq_en.htm#section_3_5.  Hence the milestones foreseen have been revised. 
Indicator  7: Number  of  followers/fans/subscribers  of  the  EU  Commission  social  media  corporate  accounts  including  the 
Representations 
Baseline 
2013 
Twitter: 172 000 
Facebook: 230 000 
Google+: 711 000 
LinkedIn: 174 591  
EUTube: 22 500 

2019 
903 000 
780 000 
1 780 000 
508 265 
46 000 

Milestones foreseen 
2016 

Target 2020 

2018 

2014 

2015 

2017 

391 417 
481 250 
1 309 583 
241 326 
31 000 

608 000  
545 000 
1 407 667 
308 061 
35 000 

850 000 
750 000 
1 900 000 
365 000 
45 000 
540 000 
670 000 

1 000 000 
950 000 
1 900 000 
450 000 
50 000 
613 000 
980 000 

735 000 
1 324 000 

Representations: 
Twitter 88 000 
Facebook 150 000 

Source: Engagor (corporate 
social media monitoring 
tool) and the data available 
on the social media 
platforms themselves 

319 700 
417 500 
1 211 500 
174 591 
28 100 
164 000 
251 000 

510 631 
537 017 
1 597 844 
243 601 
33 372 
306 000  
374 000 

Actual results 

675 000 
633 700 
1 700 000 
309 000 
38 500 
420 000 
500 000 

876 032 
778 696 
1 680 000 
370 000 
43 100 
511 000 
727 000 

1 000 000 
800 000 
1 800 000 
575 000 
50 000 

883 000 
1 788 000 

Indicator 8: Percentage of participants agreeing that the Citizens' Dialogue event improved their knowledge on EU issues 

Baseline 

Start in 2015 
Source: Based on information 
collected on the site through 
voting devices or on responses 
to questionnaires distributed 
after events 

2014 
n.a. 

2015 

Milestones foreseen418 
2017 
2016 

30 % 

70 % 

80% 

Actual results 

73 % 

77% 

N/A 

2018 

2019 

Target 2020 

N/A 

Justification of changes to the financial programming and/or to the performance information 
For Indicator 8: "Percentage of participants agreeing that the Citizens' Dialogue event improved their knowledge on EU issues" has 
been discontinued in the 1st semester of 2017 because this method did not deliver meaningful insights/results. DG COMM therefore 
suggests replacing that indicator with an indicator as follows "Number of people potentially reached by AV, print, online and social 
media through reporting and/or engagement on Citizens' Dialogues". The Commission is focusing in particular on strengthening 

418 Participants in the Dialogues were normally asked in the past the first question at the beginning of a Dialogue and the second one at its end, this type of on the 
spot survey was discontinued in the 1st semester 2017 because this method did not deliver meaningful results. 

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media interest in Citizens' Dialogues. This as well as improved media monitoring led to the capturing of a much broader number of 
media items from AV, print and online media. 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

RAPID 
Audio-visual productions and multimedia projects for the general public 
TV uptakes from Europe by Satellite (in minutes) 
Media library: conservation and availability to the public of audio-visual material (audio, video and photo ), web 
development  
Meetings with the media/HQ 
Information events for journalists/REPs 
Management  of  audio-visual  technical  facilities  (number  of  AV  products  provided  to  the  College  -  messages, 
interviews, statements, clips) (Heading 5) 
Visits to the Commission 
Number of Europe Direct Information Centres (EDICs) 
Organisation  of  events  under  the  10  priorities  of  the  Juncker’s  Commission  and  information  events  by  the 
Representations (Events&Actions database) 
Communication actions on budget focused on results(BUDG) 
European Public Spaces organise information events (Events&Actions database) (Heading 5) 
European Public Spaces (Heading 5) 
Number of consultations kids' corner and teachers' corner (Heading 5) 
Publications, including Commission’s General Report (Heading 5) 
Operation of EDCC 
Electronic/paper publications (REPs) 
Local social media profiles regularly updated (REPs) 
Number of Citizens' Dialogues 
Management of EUROPA websites (COMM) and EU results website(BUDG/DIGIT)  
House of European History (budget to DG EAC) 

Number 
1 
200 

16 03 02 03 
16 03 01 02 
16 03 01 02  130 000 
16 03 01 02 

61 

16 03 01 02 
16 03 01 02 
16 03 02 02 

16 03 02 01 
16 03 01 03 
16 03 01 04 

16 03 01 04 
16 03 01 05 
16 03 01 05 
16 03 02 04 
16 03 02 04 
16 03 02 03 
16 03 02 03 
16 03 02 03 
16 03 01 04 
16 03 02 03 
16 03 04 

1 
630 

800 

1700 
518 

7200 

n/a 
1450 
22 
1.5 
30 
1 
30 
90 
80 
n/a 
n/a 

Outputs 

RAPID 

Audio-visual  productions  and  multimedia projects  for 
the general public  

TV uptakes from Europe by Satellite (in minutes) 

library  (in 

Media 
thousands):  conservation  and 
availability  to  the  public  of  audio-visual  material 
(audio, video and photo ), web development  

Meetings with the media/HQ 

Information events for journalists/REPs 

Management  of  audio-visual 
facilities 
(number  of  AV  products  provided  to  the  College  - 
messages, interviews, statements, clips) 

technical 

Visits to the Commission 

Information  Centres 

Number  of  Europe  Direct 
(EDICs) 
Organisation  of  events  under  the  10  priorities  of  the 
Juncker’s  Commission  and  information  events  by  the 
Representations (Events&Actions database) 
European  Public  Spaces  organise  information  events 
(Events&Actions database)  

F 
P 
F 
P 
Number  of  consultations  kids'  corner  and  teachers'  F 

European Public Spaces  

F 
P 
F 
P 
F 
P 
F 

P 

F 
P 
F 
P 
F 

P 

F 
P 
F 
P 
F 

P 

2014 
1 
1 
176 
64 
40000 
80091 
28,5 

47,0 

1 
1 
540 
540 
900 

780 

1700 
1733 
500 
507 
N/A 

N/A 

1200 
1000 
18 
18 
10,8 

2018 
1 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
200 
84419 
85000 
70630 
50,0 

2016 
1 
1 
150 
107 
85000 
64113 
50,0 

2015 
1 
1 
75 
125 
85000 
94320 
50,0 

120000 

61,0 

200 

2019 
1 

200 

130000 

61,0 

48.6 

1 
1 
560 
517 
800 

762 

1700 
1736 
515 
518 
3000 

2989 

1200 
1208 
18 
18 
13,5 

50.0 

1 
1 
580 
620 
800 

647 

1700 
1700 
518 
513 
3000 

2910 

1300 
1440 
19 
18 
15,0 

60.1 

1 
1 
600 
610 
800 
738420 
1700 
1568 
518 
510421 
2500 
7900422 
1350 
1150423 
20 
18 
1,5 

1 

620 

600 

1 

630 

800 

1700 

1700 

1700 

518 

518 

518 

7200 

7200 

1400 

1450 

1600 

21 

1,0 

22 

1,5 

23 

2,0 

EUR million 
0,5 
0,7 
3,2 

1,8 

0,1 
0,5 

5,6 

5,4 
15,8 

19,3 

0,2 

1,2 

0,5 
1,7 
3,6 
2,3 
2,5 
1 
6 
n/a 

2020 
1 

200 

140000 

61,0 

1 

650 

850 

419 Since 2016 the AV Corporate production team has refocused on the 10 priorities of President Juncker and by doing so, the number of productions has 
gone down. The aim is to go for fewer, but higher quality productions – each of them therefore requiring more production time. However, production is 
constantly adapted to the changing media environment, notably as regards formats needed for integrating into the increasing social media exchanges. 
420 See footnote 9. 
421  The number of EDICs decreased slightly in 2017 because the structures hosting EDICs either terminated the agreement with the European Commission to host 
EDIC or they did not submit an annual action programme for EDIC activities. 
422 The higher figure is due to both intensified activities of the Representations and improved reporting. 
423 During 2017 two Representations decreased significantly their activities due to building issues( security and renovations). 

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Outputs 

corner (in millions) 

Publications, including Commission’s General Report 

Operation of EDCC 

Electronic/paper publications (REPs) 

Local social media profiles regularly updated (REPs) 

Number of Citizens' Dialogues 

2014 
11,8 
50 
50 
1 
1 
50 
50 
67 
67 
n/a 
n/a 

P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

2019 

30 

2018 

Number of outputs foreseen (F) and produced (P) 
2017 
0.67424 
58425 
65 
1 
1 
30 
40 
90 
90 
85 
317426 

2016 
10,5 
50 
48 
1 
1 
30 
40 
90 
90 
80 
73 

2015 
11,1 
50 
50 
1 
1 
50 
32 
70 
90 
10 
53 

300 

90 

30 

1 

30 

1 

30 

90 

20 

2020 

30 

1 

30 

90 

50 

Justification of changes to the financial programming and/or to the performance information 
Heading 3 Visits to the Commission BL 16 03 02 01: DG COMM is requesting an increase of EUR 1,375,000 to cover running 
costs of the creation and set-up of a new information centre. 

Specific Objective 2: A coherent and effective corporate communication is developed and maintained. 
Indicator 1: Digital Transformation / overall completions (in %) 

Baseline 
2012 

2014 

2015 

Milestones foreseen 

2016 

2017 

547 websites;  
3 000 000 web 
pages for all DGs 

Source: 
Commission sites 
inventory 

1 class 
transitioned 50 %;  
3 classes 
transitioned 25 % 
(8,3 % overall 
completion) 

4 themes 
transitioned 100 %;  
3 themes 
transitioned 50 % 
(37 % overall 
completion) 

15 themes at 
100 %  
(100 % overall 
completion) 

Actual results 

133 
websites 
cut for all 
DGs; 925 
070 
webpages 
cut 

8 classes at 15 % 
(8 % overall 
completion) 

2 themes at 60% 
1 theme at 58% 
1 theme at 46% 
1 theme at 37% 
1 theme at 32% 
1 theme at 25% 
1 theme at 20% 
1 theme at 16% 
1 theme at 1% 
(31% overall 
completion) 

100%427 

2018 
One coherent 
web presence for 
the entire 
Commission, to 
be continuously 
improved and 
maintained   

Target 2020 

2019 
One coherent 
web presence for 
the entire 
Commission, to 
be continuously 
improved and 
maintained    One coherent 
web presence 
for the entire 
Commission, to 
be continuously 
improved and 
maintained   

Expenditure related outputs 

Outputs 

Intra-muros  expertise  to  create  the  new  web  presence  (data  analysis,  user 
research, user experience, design, usability, content and communication) 

Budget line 

16 03 02 03 

Draft Budget 2019 

Number 

43 

EUR million 

6,8 

Outputs 

Intra-muros  expertise  to  create  the  new  web  presence 
(data  analysis,  user  research,  user  experience,  design, 
usability, content and communication) 

F 

P 

2014 
23 

23 

Number of outputs foreseen (F) and produced (P) 
2019 
2017 
43 
43 

2018 
43 

2016 
45 

2015 
30 

2020 
43 

28 

36 

37 

Specific Objective 3: Country specific information and analysis are fed into College's decision making process 

424  During  the 2017, much  of  the  content  of  Kids'  corner  was  removed.  In  addition,  the  redesign  of  Kids'  corner and  Teacher's  corner  had to be  postponed  until 
2018.The way of measuring consultations of Kids' Corner and Teachers' Corner has been modified to reflect visits rather than page views/consultations, as this is a 
more  accurate  way  of  measuring  audience  and  aligns  the  methodology  for  calculating  the  figures  with  that  used  by  other  services,  thus  ensuring  a  corporate 
approach across the institution.. 
425 The 32 titles in the 'EU explained' series of publications will be phased out and replaced by short citizen-friendly factsheets on the EU's 10 political priorities      
Both the 'EU explained' series and the factsheets will co-exist in 2017, resulting in a higher number of publications than in previous years, before stabilising at a 
lower number of far more regularly updated publications from 2018. 
426 The number of Citizens' Dialogues increased steeply in 2017 due to the fact that they became a major channel for the debate on the future of Europe and the 
introduction of a second series of Dialogues with senior Commission officials. 
427  The content on the new web presence is organised thematically (15 themes). The concept as described in the Strategic Plan 2016 – 2020 was modified by a 
decision of the CCSC on 24 January 2017(Ares Ref (2017)643800 d.d.06/02/2017). It changed the strategy for Europa so that each theme would be built up to at 
least the first three levels of the information architecture and assign existing websites to each one. 

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Indicator 1: Number of political and economic reports and analysis produced 
Milestones foreseen 
2017 
2016 
500 

Baseline 
2012 

2014 

2015 

940 

2018 
450 

2019 

Target 2020 

Actual results 

500 

940 
Source: Political reporting tool and statistics on ESO reports (DG COMM) 

606 

634 

437 

Justification of changes to the financial programming and/or to the performance information 
For Indicator 1 : The actual results are less than foreseen as this figure includes all horizontal products (horizontal reports, and crisis reports – 28 contributions from 
European Commission Representations, counted here as one).The number of individual reports have been reduced to produce more focused and relevant reports 
including regional and horizontal reports. 
Indicator 2: Satisfaction rate on the media monitoring services 

Baseline 
2013 

n/a 
Source: DG COMM survey 

2014 
n/a 

2015 
60 % 

76 % 

Milestones foreseen 
2017 
2016 
76% 

Actual results 

n/a 

80% 

Indicator 3: Satisfaction rate concerning Eurobarometer products 

Baseline 
2015 

n/a 

2014 

2015 

n/a 

n/a 

Milestones foreseen 
2017 
2016 
60% 

Actual results 

n/a 

n/a 

Source of data: COMM.A1 survey - Survey conducted as of 2018 annually each autumn  

2018 
75% 

2019 

Target 2020 

2018 

2019 

75 % 

Target 2020 

75 % 

Expenditure related outputs 

Outputs 

Production of media monitoring and other media analysis products 
Production of  Eurobarometer public opinion surveys 

Outputs 

Production  of  media  monitoring  and  other  media 
analysis products 

Production of  Eurobarometer public opinion surveys 

2014 
60 
51 
7 
8 

F 
P 
F 
P 

Budget line 

16 03 02 05 
16 03 02 05 

Draft Budget 2019 

Number 
45 
7 

EUR million 
1,5 
5,5 

Number of outputs foreseen (F) and produced (P) 
2019 
45 

2018 
45 

2020 
30 

2015 
50 
21 
7 
11 

2016 
30 
30 
7 
9 

2017 
30 
48428 
7 
8 

7 

7 

7 

428 Due to a new project related to the Future of Europe (in the context of the 60 years anniversary of the Treaties of Rome, and the White Paper), we produced more 
media analysis products, hence the foreseen outputs have been increased until 2019. 

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HEADING 4: Global Europe 

Instrument for Pre-accession Assistance (IPA II) 
Lead DG: NEAR 
Associated DGs: EAC, AGRI, EMPL, REGIO 

I. Programme Overview 

What the programme is about? 

The Instrument for Pre-accession Assistance (IPA) is the means by which the EU supports reforms in the 'enlargement countries' 
with financial and technical help. The IPA funds build up the capacities of the countries throughout the accession process, resulting 
in progressive, positive developments in the region.  

IPA funds help beneficiaries aspiring to join the EU prepare to fulfil the obligations that come with EU membership and benefit 
from the rights that are enshrined in the EU through support to reforms that provide citizens in the enlargement region with  better 
opportunities and allow for development of standards equal to the ones enjoyed by EU citizens. The funds also help the EU reach 
its own objectives regarding a sustainable economic recovery, security of energy supply, improved transport connections, enhanced 
environmental standards, more effective action to combat climate change, etc. 
Pre-accession  assistance  is  designed  to  help  the  beneficiaries  listed  in  Annex  I  of  the  IPA  II-Regulation  coming  closer  to  the 
accession  benchmarks.  By  its  very  nature,  IPA  II  is  an  enabling  instrument  which  helps  the  beneficiaries  in  implementing  the 
necessary reforms and achieving their respective targets related to the 1993 Copenhagen criteria as well as the conditionality of the 
Stabilisation  and  Associations  process.  The  success  of  pre-accession  assistance  is  therefore  to  be  measured  against  the  criterion 
how effective the assistance was to enhance the capability of the beneficiaries to come closer to the accession benchmarks. 

Pre-accession assistance is an investment in: 
  Public administration reform 
  Rule of law 
  Sustainable economy 
  People 
  Agriculture and rural development 

Current beneficiaries are:  Albania, Bosnia and Herzegovina, the former Yugoslav  Republic of Macedonia, Kosovo,  Montenegro, 
Serbia, and Turkey. 

EU added value of the programme 

The purpose of assistance under the Instrument for Pre-Accession Assistance (IPA II) is to support the Enlargement policy of the 
Union. Enlargement policy itself is part of the external action of the Union and contributes to meeting the common objectives in 
terms of global challenges, global response and global leadership. The Enlargement policy contributes to ensuring stability, security 
and prosperity in the immediate neighbourhood of the Union. 

The successive enlargement of the EU is by its very nature common task which can be pursued only at EU level. Only the Member 
States acting together can decide on the accession requests by new candidates. The pre-accession assistance provided through the 
EU budget is designed to help candidate countries and potential candidates: IPA is built to give IPA II beneficiaries a “test run” of 
obligations  of  membership  (such  as  putting  in  place  institutions  for  managing  EU  funds,  and/or  adopting  the  acquis  and  EU 
standards). Granting pre-accession assistance under one single instrument on the basis of a single set of criteria is more efficient 
than  granting  assistance  from  multiple  sources  (including  the  national  budgets  of  the  Member  States)  following  different 
procedures and priorities. 

II. Programme Update 

Implementation status (2014-2017) 

The most important novelty of IPA II is its strategic focus.  Country Strategy Papers are the specific strategic planning documents 
made for each beneficiary  for the 7-year period. These provide for a stronger ownership by the  beneficiaries through  integrating 
their  own  reform  and  development  agendas.  A  Multi-Country  Strategy  Paper  address  priorities  for  regional  cooperation  or 
territorial cooperation. 

Multiannual indicative programming documents were adopted in 2014 and have been revised in 2017 for each of the seven IPA II 
beneficiaries. These documents, which under IPA II are called Indicative Strategy Paper(s)’:  
- 
- 

set the framework for the assistance’s objectives for 2014-2020  
identify priorities and sequencing for reforms and investments to ensure consistency with the enlargement agenda.  

An indicative  multi-country  strategy paper  was also adopted in 2014 and has been revised in 2017. This identifies priorities and 
conditions for multi-beneficiary programmes for 2014-2020 for:  

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-  Horizontal support to sector policies and reforms, including support  measures  for the implementation,  monitoring, audit and 

evaluation of IPA programmes, as well as for information and communication activities;  

-  Regional structures and networks; 
-  Regional investment support; and,  
-  Territorial cooperation.  

In 2014, the following programmes were adopted, in particular:  
- 
- 
- 

eight annual action programmes (including one multi-country programme);  
five multiannual sector operational programmes for Turkey and the former Yugoslav Republic of Macedonia;  
eight  cross-border  cooperation  programmes  in  the  Western  Balkans  and  a  cross-border  cooperation  technical  assistance 
programme;  
one multiannual programme to support civil society and media;  
four support measures;  
one individual measure (support to the Office of the High Representative (OHR) in Bosnia and Herzegovina);  
one special measure on flood risk protection in Bosnia and Herzegovina and Serbia.  

- 
- 
- 
- 
Total operational commitments for IPA II in 2014: EUR 1.4 billion. 

Additional action programmes were adopted in 2015, in particular:  
- 
nine annual action programmes (including two multi-country programmes);  
- 
eight multiannual cross-border cooperation action programmes;  
-  measures to support TAIEX and the OHR in Bosnia and Herzegovina;  
-  measures for horizontal support;  
- 

special measures over the migration crisis.  

IPA 2016 programming exercise was carried out,  which took into account the sector readiness with a particular focus on project 
maturity  to  ensure  impact  and  added  value  of  EU  financial  assistance.  In  total,  9  annual  action  programmes,  including  multi-
country programmes, were adopted in a total value of EUR 662 million. 

Most of these programmes are still at an early stage of implementation, with mostly contracts under the multi-country allocation 
and several sector reform contracts already signed.  

Key achievements  

Although  the  2014-2017  programmes  are  at  an  early  stage  of  implementation,  there  are  already  some  measurable  achievements. 
The sector-based approach and several sector reform contracts introduced under IPA II have contributed to improved governance 
and  public  administration  and  public  financial  management.  Furthermore,  the  implementation  of  the  connectivity  agenda  has 
progressed well with the implementation of several important infrastructure projects agreed at the Vienna (2015), Paris (2016) and 
Trieste (2017) summits. 

Migration 
In 2017, the EU continued providing financial support to those affected by migratory pressure along the Western Balkans route (in 
particular  Serbia  and  the  former  Yugoslav  Republic  of  Macedonia)  to  implement  the  commitments  made  at  the  October  2015 
Leaders'  Meeting  on  the  Western  Balkans  Migration  Route.  The  2015-  2016  EUR  39  million    allocation  continues  to  be 
implemented,  and  an  additional  EUR  30  million  was  allocated  in  2017  to  support  in  particular  Serbia  and  the  former  Yugoslav 
Republic of Macedonia in managing the migration flow. As the nature of the crisis has changed, the support now focuses more on a 
structural  approach  in  order  to  improve  the  conditions  in  the  shelter  centres.    In  parallel,  the  fight  against  smuggling  and  the 
improvement of the border controls are supported at regional level. 

The Facility for Refugees in Turkey (FRIT): In the field of migration, the March 2016 EU-Turkey statement continues to deliver; 
the number of illegal migrants crossing is declining and there are far fewer deaths at sea. The Commission's second annual report 
on the Facility for  Refugees in Turkey published on 14 March 2018 confirms that the  Facility  has proven its  great  efficiency  in 
supporting  what  constitutes  an  unprecedented  humanitarian  aid  effort  on  the  part  of  Turkey.  The  2016-2017  envelope  of  EUR 
3 billion  was  fully  contracted  by  the  end  of  2017  and  is  funding  72  projects.  Thanks  to  the  Facility,  1.2  million  of  the  most 
vulnerable  refugees  are  provided  with  monthly  cash  transfers  under  the  Emergency  Social  Safety  Net.  The  EU  has  supported 
Turkish  language  training  to  312,000  children  and  school  material  equipment  to  500,000  students.  More  than  100  schools  have 
been  upgraded  or  refurbished.  Support  to  health  care  has  funded  almost  764,000  primary  health  care  consultations  and  the 
vaccination of more than 217,000 Syrian refugee children. All this was key to reducing migratory pressure on the EU. 

Connectivity agenda 
Continued  progress  has  been  achieved  on  the  Connectivity  agenda.  Improving  connectivity  within  the  Western  Balkans  and 
between the Western Balkans and the European Union (EU) is a key factor for growth and jobs and will bring clear benefits for 
economies and citizens. The Berlin process has made the connectivity agenda one of its highest priorities, with a special emphasis 
on the preparation and financing of concrete regional infrastructure investment projects, but also on the implementation of technical 
standards  and  accompanying  reform  measures  such  as  aligning  and  simplifying  border  crossing  procedures,  railway  reforms, 
information systems (ITS), road safety and maintenance schemes, unbundling and third party access. 

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The European Union has set aside up to EUR 1 billion for connectivity investment projects and technical assistance for the 2014-
2020  period.  It  provided  the  first  EUR  200  million  at  the  Western  Balkans  Summit  in  Vienna  in  August  2015  for  ten  priority 
projects,  out of  which eight from the Multi-Country IPA allocation. In 2016, EUR 145.5 million  were allocated for connectivity 
projects  in  the  transport  and/or  energy  sector.  In  2017,  the  connectivity  package  endorsed  at  the  Trieste  Summit  in  July  2017 
included seven additional transport projects financed by the Western Balkans Investment Framework WBIF for a total grant size of 
EUR 194 million, leveraging EUR 500 million total investments.  

In Turkey, work under IPA II has continued in the policy areas where reforms or investments are most needed for Turkey to meet 
accession criteria. This has meant supporting the promotion of rule of law and fundamental rights, institution-and capacity-building, 
socio-economic  development,  employment,  social  policies,  education,  promotion  of  gender  equality,  human  resources 
development,  agriculture,  rural  development,  regional  development  and  territorial  cooperation.  For  example,  the  IPA  Rural 
Development  (IPARD)  programme  has  been  supporting  the  modernisation  of  the  agricultural  sector,  promotes  innovative 
approaches and reaches out to grass roots level in Turkey, including the peripheral and border regions. In addition, the EU Civil 
Society Facility (CSF) has allowed the EU to directly support civil initiatives and right-based projects proposed by individuals and 
civil society organisations, including networks, to address particularly sensitive issues. The CSF flagship programme in Turkey is 
Sivil Düşün ("Think Civil"), a unique programme that focuses on practical ways to realise the participation in EU programmes of 
civil society organisations, networks, and activists in a progressive, flexible, and inclusive way. The Strengthening Core Values and 
Democracy Education at Basic Education Level project (EUR 3.6 million)  is implemented jointly with the Council of Europe to 
integrate  a  democratic  school  culture  that  corresponds  with  universal  core  values  and  fundamental  rights  and  freedoms  into  the 
education system by strengthening democratic  values and practices in schools and the academic community. However, there has 
been backsliding in the area of rule of law and fundamental rights as well as in the public administration reform. This, coupled with 
serious  absorption  capacity  problems,  led  to  the  reduction  of  the  IPA  II  programme  for  2017  and  the  gradual  recentralisation  of 
management of funds. 

Western Balkans 

In Albania, IPA assistance is instrumental in the promotion of local governance and development, in close coordination between 
national  IPA/Civil  Society  Facility  funds.  In  2017  the  EU  has  increased  its  attention  and  financial  assistance  to  the  field  of 
decentralization and local governance, in response to Albania decentralisation efforts (as part of the Albanian 2015  - 2020 strategy 
on decentralization and local governance) and to promote the involvement of the local level in the  EU integration agenda  of the 
country. The EU is the main contributor (other donors being US, Sweden, Italy, Switzerland, Sweden) to the second phase of the 
project  "Support  to  Territorial  Administrative  Reform"  (STAR2),  implemented  by  the  United  Nations  Development  Programme 
UNDP. The overall objective is to ensure functionality of the newly established local governments, so that local administrative and 
service  delivery  outcomes  are  effective,  qualitative,  participatory,  and  inclusive,  and  correspond  to  evolving  decentralized 
competencies and responsibilities. 

With  the  commitment  of  the  Government  of  Albania  and  the  two  associations  of  Albanian  municipalities,  another  EU  funded 
project “Municipalities for Europe” started in September 2017. It aims at enhancing the governance capacity of local governments 
and reach out to the public regarding EU policies, programs, and funds. It assisted the establishment of an 'EU desk' in each of the 
61 municipalities of Albania and provided municipal staff with EU related content and know how. 

In  addition,  under  the  Civil  Society  Facility  (CSO)  (Reload  programme),  support  is  provided  for  the  institutionalization  of 
interaction between local  governments and  CSOs. The  aim is to put  in practice  a transparent,  development-oriented and project-
based approach to funding of CSOs by municipal budgets. 

In  Bosnia  and  Herzegovina,  work  has  continued  on  the  development  of  country-wide  strategies  in  important  sectors  such  as 
Energy,  Public  Administration  Reform  (PAR)  and  Public  Financial  Management  (PFM)  etc,  together  with  EU  development 
partners.  In  cooperation  with  Sweden  and  the  US,  a  country-wide  rural  development  strategy  was  agreed  by  state  and  entity 
governments, thereby fulfilling an important precondition to unlock pre-accession funds. In addition, in cooperation with the UK, a 
country-wide strategy on energy is being developed and is close to completion. These are significant developments and progress 
considering  the  difficulties  constantly  faced  due  to  Bosnia  and  Herzegovina’s  institutional  and  political  complexities.  The 
finalisation of these strategies will allow the resumption of the full envelope initially intended for Bosnia and Herzegovina. 

In  the  former  Yugoslav  Republic  of  Macedonia,  the  political  change  in  June  2017  created  a  window  of  opportunity  for  the 
country,  which  was  used  by  the  new  government,  with  the  active  support  of  the  EU  Delegation,  to  inject  new  dynamics  in  key 
reform processes. Following the intensive work on identification of the deficiencies in the public finance management (PFM), the 
country,  with  the  support  of  the  EU,  prepared  a  set  of  measures  to  address  the  weaknesses  in  the  public  finance  systems.    In 
September 2017 the Minister of Finance chaired a high-level policy dialogue, with the participation of all national stakeholders, the 
European Commission and the key donors and international actors.. This was followed by intensive consultations and fine-tuning, 
and in December 2017  the Government adopted the PFM Reform Programme (2018-2022). In parallel, the EU together with the 
national  authorities  prepared  and  finalised  an  action  amounting  to  EUR  18.6  million  to  support  the  implementation  of  the  PFM 
Reform  Programme.  The  PFM  reforms  focus  on  7  priorities:  fiscal  framework,  revenue  mobilisation,  planning  and  budgeting, 
budget execution, transparency, internal control, external control and parliamentary oversight. 

In Montenegro, a key area of support is Public Administration Reform (PAR). Continuous policy  dialogue at technical, strategic 
and political level contributed to the approval of the Public Administration Reform Strategy 2016-2020 and to its Action Plan as 
well as to the identification and formulation of a PAR Budget Support Programme. In 2017, the EU Delegation finalised a EUR 15 

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million  PAR  Sector  Budget  Support  programme,  addressing  the  optimisation  of  the  Public  Administration  and  HR  systems 
targeting  several  policy  areas  such  as  justice  and  environment.  During  implementation,  the  focus  of  policy  dialogue  will  be  on 
managerial  accountability,  optimization  of  public  administration  at  central  and  local  level  and  on  policy  development  and 
coordination, merit-based recruitment, fair performance appraisal system and the improvement of public service delivery. 

In  Serbia,  the  support  in  2017  focused  on  three  key  sectors.  In  the  sector  of  democracy  and  governance,  an  European  Facility 
implements  specific  actions  for  the  establishment  of  legislative  and  institutional  capacities  in  free  movement  of  goods,  human 
resources development in local public administration. The facility further supports legislative harmonization with the EU acquis, in 
line with the better regulation approach, efficient accession negotiations, and fulfilment of the requirements of EU membership. In 
the  crucial  rule  of  law  and  fundamental  rights  sector,  the  focus  is  on  the  justice  reform  area,  and  aims  at  supporting  Serbia  in 
implementing the action plan for Chapter 23, as well as at improving the efficiency of its judicial system and supporting the  fight 
against organized crime and cybercrime. In the area of environment, climate action and energy, the aim  is to diversify and secure 
more  reliable  and  sustainable  energy  supply  and  to  increase  the  competition  in  natural  gas  market  wholesale  trading,  with  the 
construction  of  the  Gas  interconnector  between  Serbia  and  Bulgaria.  Further    to  raise  environmental  standards  in  Serbia  to 
approximate to EU levels,  through  support to the  construction of two  wastewater  treatment plants and  the improvement of  solid 
waste management at municipal level. 

In  Kosovo,  the  EU-Kosovo  Stabilisation  and  Association  Agreement  (SAA)  entered  into  force  in  April  2016.  It  provides  a 
framework  for  political  dialogue  and  covers  co-operation  in  a  wide  variety  of  sectors,  including  justice  and  home  affairs,  trade, 
education, employment, energy, environment and a range of other policy areas. To guide reforms under the implementation of the 
SAA, the Commission and Kosovo adopted in November 2016 the European Reform Agenda (ERA). The Agenda outlines priority 
actions  in  the  fields  of  good  governance  and  the  rule  of  law,  competitiveness  and  investment  climate,  and  employment  and 
education. The implementation of the ERA is ongoing, but has been delayed notably due to a protracted electoral period in 2017. 
As  part  of  the  IPA  2016  and  2017  programmes,  sector  budget  support  programmes  on  public  administration  reform  and  public 
financial management (of EUR 25 million each) were adopted. The north of Kosovo remains a key concern both politically, as well 
as for the effectiveness and efficiency of EU financial assistance. With a view of protecting financial interest of the EU, the EU 
Office has adopted mitigating measures such as the fulfilment of essential conditions before any infrastructure work can take place.  
In 2017, two works contracts (amounting to EUR 8 million) had to be cancelled as the fulfilment of the essential conditions were 
not met by the local authorities. 

Evaluations/studies conducted 

The  mid-term  evaluation  of  IPA  II  was  carried  out  in  the  framework  of  the  comprehensive  mid-term  review  of  the  external 
financing  instruments.  The  Mid-term  review  report  of  the  External  Financing  Instruments  was  transmitted  by  the  European 
Commission to the European Parliament and the Council on 15 December 2017. Such report included the results of the ENI mid-
term evaluation, and the subsequent Open PublicConsultation and Staff Working Document (https://ec.europa.eu/europeaid/public-
consultation-external-financing-instruments-european-union_en).  Main  conclusion  of  the  report  is  that  IPA  II  is  overall  fit  for 
purpose and it corresponds to EU priorities and beneficiary needs. 

In addition to IPA II mid-term evaluation, during 2017 three other evaluations have been completed, that is the ex-post evaluation 
of  IPA  Cross  Border  Cooperation  (CBC)  2007-2013,  and  two  thematic  evaluations  covering  economic  governance  and  SME 
competitiveness. 

A  specific  session  was  held  during  the  CBC  Forum  in  Struga,  former  Yugoslav  Republic  of  Macedonia,  in  October  2017  to 
discuss the  follow-up action  plan of the IPA CBC 2007-2013 evaluation. The final reports of the two thematic evaluations  were 
presented at the Eco-net meeting, which took place in Brussels in October 2017. 

The  evaluation  on  economic  governance  concluded  that  the  assistance  in  the  IPA  region  has  been  efficient  and  significantly 
contributed to the reinforcement of the beneficiaries' institutional capacity. It has also managed to reinforce the operational capacity 
and skills of the institutional actors. However, the long term sustainability of the achieved impacts has been facing acute challenges 
of political instability in a number of IPA beneficiaries. For the economic governance evaluation the Commission will produce a 
Staff Working Paper during 2018, as foreseen in the Better Regulation Guidelines of the Secretariat General.  

The  evaluation  on  SME  competitiveness  concluded  that  the  relevance  of  EU  assistance  in  this  sector  is  high,  overall  there  is  a 
satisfactory  efficiency  of  project  implementation  and  the  programmes  are  largely  effective  despite  the  inadequate  support  by 
national authorities. 

Forthcoming implementation (2018-2019)  

IPA II programming will continue to focus on the ‘fundamentals first’ in line with the enlargement strategy. The planned 2017 IPA 
interventions continue to address the political priorities of the Commission, in particular the  fundamentals of enlargement such as 
the  rule  of  law  and  democratic  governance,  economic  growth  and  jobs,  including  important  priorities  such  as  the  connectivity 
agenda. 

This  will  involve  strengthening  democratic  functioning  and  governance  (e.g.  public  administration  reform,  public  finance 
management)  and  supporting  the  rule  of  law  and  fundamental  rights  (judiciary,    anti-corruption,  border/boundary  management, 
anti-discrimination, etc.). Other important future actions are:  
- 

competitiveness and growth, including connectivity in the Western Balkans;  

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- 
- 
- 
- 
- 

support to employment and education; 
agriculture and rural development;  
energy; 
environment;  
SME support. 

Specific attention will continue to be paid to managing the consequences of the refugee and migration crisis. Several actions have 
already  been  programmed  (with  implementation  ongoing  or  starting)  addressing  emergency  issues  such  as  border/boundary 
surveillance/management  or  provisioning  of  accommodation  and  basic  services  for  migrants/asylum  seekers.  A  fourth  Special 
Measure  for  the  Western  Balkans  (targeting  primarily  Serbia  and  the  former  Yugoslav  Republic  of  Macedonia)  is  under 
preparation.  Furthermore,  an  additional  focus  for  the  period  2017-2018  will  be  on  security,  in  particular  on  tackling  counter-
terrorism,  radicalisation  and  violent  extremism  and  serious  crime  actions,  IPAII    will  provide  support  to  the  Western  Balkan 
Integrative Internal Security Governance, as well as the deployment of EUROPOL liaison officers, which will help better assess the 
situation on the ground and needs. 

Concerning  Turkey,  in  2019  the  key  priorities  will  be  to  sustain  the  EU-Turkey  dialogue,  support  the  implementation  of 
commonly-agreed  joint  priorities  and  increase  opportunities  for  Turkish  citizens,  NGOs  and  professionals  to  access  EU 
programmes. The finalisation of the mid-term review for the Indicative Strategy Paper in 2018 will likely lead to a reduction in the 
annual envelope of IPA funding for Turkey compared to the projections made in the original ISP 

In that context, funding for Turkey's participation in Union Programmes will be slightly increased to enhance opportunities for 
students  under  Erasmus  +.  Support  to  address  the  effects  of  the  refugee  crisis  in  Turkey  will  continue  to  be  channelled  mainly 
through the Facility for Refugees in Turkey for which a contribution of the EU budget will be sought from various sources. Support 
to civil society will continue to be particularly important and will be further strengthened in the context of the growing polarisation 
of  the  Turkish  society  and  measures  taken  by  the  authorities  against  fundamental  rights  and  freedoms  as  well  as  against  human 
rights defenders in the aftermath of the coup attempt.  The  fundamental rights sector  will also feature as priority. In the thematic 
areas of the multi-annual programmes, competitiveness, environment and climate change  and transport actions will continue on a 
much lower scale in the wake of the revision of the indicative strategy paper, the measures will focus more on soft measures rather 
than  on  infrastructure.    Education,  employment  and  social  policy  field  and  rural  development  (IPARD)  directly  benefiting 
individuals,  women,  youth,  vulnerable  groups,  rural  entrepreneurs  and  farmers  will  continue,  at  levels  similar  to  those  finally 
agreed in the context of the 2018 revised allocations.  
An extension ('second tranche') of the Facility for Refugees in Turkey by an additional EUR 3 billion429, of which EUR 2 billion 
from the EU budget, has now been agreed and will enable the continued provision of food, education and housing to those fleeing 
the wars in Syria and elsewhere. The second tranche will be implemented under IPA and Humanitarian Aid 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 231/2014 of the European Parliament and of the Council of 11 March 
2014 establishing an Instrument for Pre-accession Assistance (IPA II) 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

11 698,7 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Of which contribution to Erasmus+ 

50,7 
1 426,8 
1,0 
1 478,6 
30,3 

41,7 
1 531,2 
0,8 
1 573,7 
31,9 

41,8 
1 635,5 
0,8 
1 678,1 
32,9 

44,6 
2 073,0 
0,8 
2 118,4 
33,9 

45,7 
1 602,4 
0,7 
1 648,8 
31,0 

46,0 
2 515,5 
0,7 
2 562,1 
33,0 

50,3 
1 688,6 
0,6 
1 739,6 
33,0 

Total 
Programme 
320,8 
12 473,1 
5,5 
12 799,4 
225,9 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

2 118,404 

99,92 % 

869,440 

98,92 % 

1 648,771 

7,46 % 

1 240,626 

7,03 % 

Authorised appropriations (*) 

2 170,244 

99,07 % 

1 246,258 

85,43 % 

1 599,478 

8,10 % 

1 385,635 

9,72 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

429 

C(2018) [1500 final, 14.3.2018]. 

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3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 priorities 

Priority 

Inclusive Growth (employment and skills, fighting poverty) 
*100% line 22 02 04 02 Contribution to Erasmus + 3 

Contribution to mainstreaming of climate action 

Budget 2018 
(EUR million) 
30,3 

DB 2019 
(EUR million) 
32,3 

Relevant objective/output 

Specific objectives 2, but also 3 and 4 
05 05 03 02 - Support for economic, social and territorial development and related progressive 
alignment with the Union acquis 
05 05 04 02 - Support for economic, social and territorial development and related progressive 
alignment with the Union acquis 
22 02 01 02 - Support for economic, social and territorial development and related progressive 
alignment with the Union acquis 
22 02 03 02 - Support for economic, social and territorial development and related progressive 
alignment with the Union acquis 
22 02 04 01 - Multi-country programmes, regional integration and territorial cooperation 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

 250.77  
        14.31  

 270.06  
        15.41  

        65.83  

        70.89  

        46.66  

        50.24  

      118.33  

      127.43  

           5.65  

           6.08  

2014 

2014 – 2016 
2015 

2016 

2017 

2018 

2017-2018 estimates 

2019-2020 programming 
2020 
2019 

 90.07  

 210.29  

 222.26  

 305.43  

 250.77  

 270.06  

 288.37  

Total 
2014-2020 
1,637.25 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

The  estimated  amount  for  climate  related  expenditure  for  2014-2017  is  based  on  the  analysis  of  the  climate  related  expenditure 
under IPA II. 2017 final data will be available later during the year and the amount was not updated. 

Estimates  reflect  the  OECD/DAC  reporting  methodology  for  the  Rio-markers  on  climate  mitigation  and  climate  adaptation.  The 
budget  of  marked  actions  is  weighted  100%  if  climate  mitigation/adaptation  is  marked  as  "principal  objective"  and  40%  if  it  is 
marked as "significant objective". 

Estimates for 2018-2020 are based on DG NEAR targets. 

Rio-markers  apply  to  actions  funded  in  all  sectors;  however,  past  trends  indicate  that  relevant  actions  tend  to  concentrate  in  the 
sectors of rural development, environment, energy and management of natural resources – hereby tentatively associated to Specific 
Objective 2 (Support for economic, social and territorial development). However, climate-related expenditure might contribute also 
to  achieving  Specific  Objective  3  (Strengthening  the  ability  of  the  beneficiaries  to  fulfil  the  obligations  stemming  from  Union 
membership) as well as Specific Objective 4 (Strengthening regional integration and territorial cooperation). 

IPA II supports the beneficiaries in their efforts to align to the EU2020 Strategy, which includes increasing energy efficiency in the 
industry, in transport and housing and increasing the share of renewable energy sources. Support in this area is channelled to the 
beneficiaries in particular through financial instruments; in the first instance the Western Balkan Investment Framework (WBIF) 
and the Green for Growth Fund (GGF). 

Contribution to financing biodiversity 

Specific objectives 2, but also 3 and 4 

Relevant objective/output 

Budget 2018 
(EUR million) 
12,3 

DB 2019 
(EUR million) 
12,42 

The amount constitutes around 0.5-0.7% of the IPA operational credits, excluding Erasmus+.  

Estimates  reflect  the  OECD/DAC  reporting  methodology  for  the  Rio-marker  on  bio-diversity.  The  budget  of  marked  actions  is 
weighted 100% if bio-diversity is marked as "principal objective" and 40% if it is marked as "significant objective".  

Rio-markers  apply  to  actions  funded  in  all  sectors;  however,  past  trends  indicate  that  relevant  actions  tend  to  concentrate  in  the 
sectors of rural development, environment, energy and management of natural resources – hereby tentatively associated to Specific 
Objective 2 (Support for economic, social and territorial development). However, biodiversity-related expenditure might contribute 
also to achieving Specific Objective 3 (Strengthening the ability of the beneficiaries to fulfil the obligations stemming from Union 
membership) as well as Specific Objective 4 (Strengthening regional integration and territorial cooperation). 

2014 
0 

2014 – 2016 
2015 
0,4 

2017-2018 estimates 

2016 
11,68 

2017 
14,98 

2018 
12,3 

2019-2020 programming 
2020 
2019 
12,48 
12,42 

Total 
2014-2020 
64,26 

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Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by  programme in EUR Million). 2017 final data  will be available later during the year and the 
amount was not updated. 

Gender mainstreaming 
DG  NEAR  is  committed  to  the  implementation  of  EU  Gender  Action  Plan  II,  2016-2020  (GAP  II),  as  well  as  the  promotion  of 
gender equality and women's empowerment in international fora and agendas. The GAP was endorsed on October 26, 2015 by the 
Council  which confirmed in  its  Conclusions  that gender equality is at the core of European  values and enshrined  within the EU 
legal and political framework.  

In 2015, gender commitments represented only 9.3% (137 million out of 1469) and in 2016 this percentage reached 26.6% (636 
million out of 2386) of the IPA operational credits. 2017 final data will be available later during the year and the amount was not 
updated. 

Data reflect the OECD/DAC reporting methodology. The budget of marked actions is weighted 100% if gender equality is marked 
as "principal objective" and 40% if it is marked as "significant objective". Gender markers apply to actions funded in all sectors 
respectively specific objectives. 

4. Performance information 
General objectives 

General  Objective  1: The  Instrument  for  Pre–accession  Assistance  (“IPA  II”)  shall  support  candidate  countries  and  potential 
candidates in adopting and implementing the political, institutional, legal, administrative, social and economic reforms required by 
the beneficiaries listed in Annex I to comply with Union values and to progressively align to Union rules, standards, policies and 
practices with a view to Union membership. Through such support, IPA II shall contribute to stability, security and prosperity in the 
beneficiaries. 

Specific objectives 

Specific Objective 1: Support for political reforms. 
Indicator 1: Composite indicator on the readiness of enlargement countries on fundamental areas of the political accession criteria. 
These  areas  are:  Judiciary,  Fighting  organised  crime,  Freedom  of  expression,  Fight  against  corruption  and  Public  administration 
reform 

Definition: This composite indicator aims at showing where the candidate countries and potential candidates stand in terms of their preparations 
for meeting five key areas of the political criteria, namely the functioning of the judiciary, fight against corruption, fight against organised crime, 
freedom of expression and Public administration reform.  

In  each  of  these  areas,  the  state  of  play  (i.e.  the  readiness)  in  the  candidate  countries  and  potential  candidates  is  assessed  according  to  the 
following five-tier standard assessment scale: Early stage – Some level of preparation - Moderately prepared - Good level of preparation – Well 
Advanced.  

This composite indicator is based on a careful analysis of the situation under each of the areas. Particular emphasis is given to the importance of 
implementation  and  track  records  of  concrete  results  in  each  area.  Accordingly,  these  aspects  are  given  more  weight  than  legal  alignment  and 
institutional  framework  in  the  overall  assessment.  These  indicators  have  been  introduced  in  the  enlargement  reports  of  2015.  Upcoming 
enlargement reports will provide an assessment of the areas, used for the preparation of this composite indicator. For further details, please see the 
Communication on the EU Enlargement Strategy430. 

These result indicators are particularly relevant for since they show the results of its enlargement policy, including financial assistance through the 
Instrument for Pre-accession Assistance as regards two main fundamentals of the enlargement strategy (i.e. the rule of law and fundamental rights 
and  public  administration  reform).  DG  NEAR  role  is  to  support  the  candidate  countries  and  potential  candidates  to  address  the  core  issues 
measured by these indicators. These indicators provide also greater transparency in the enlargement process and should facilitate greater scrutiny 
of reforms by all stakeholders. 

Baseline 
2015 
Five cases of early stage of 
preparation in these areas (i.e 
Albania on the Judiciary, 
Bosnia and Herzegovina on 
Public Administration Reform 
and Kosovo*431on the 
Judiciary, Fighting organised 
crime, and Fight against 
corruption) 

2014 

2015 

Milestones foreseen 

2016 

2017 

n.a.* 

Five cases of 
early stage of 
preparation in 
these areas 

Actual results 

Four cases of 
early stage of 
preparation 

Five cases of 
early stage of 
preparation  

2018 
Reduced number of 
cases of early stage 
of preparation in 
these areas 

2019 

Target 2020 

A majority of 
countries are 
moderately 
prepared in these 
areas** 

430   COM (2015) 611 final, 10.11.2015 
431   Kosovo* - This designation is without prejudice to positions on status, and is in line with UNSCR1244/1999 and the International Court of Justice (ICJ) 
Opinion on the Kosovo declaration of independence. 

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Source of data: Annual enlargement country reports – European Commission 
* Results for 2014 are not available since the assessments, used for the preparation of this composite indicator, have been first done in 2015. 
** Assuming that there will not be any backsliding on these areas, the target implies that by 2020 at least 3 more candidate countries and potential 
candidates become moderately prepared on the functioning of the judiciary; at least four more become moderately prepared on the fight against 
corruption; at least four more become moderately prepared on the fight against organised crime; at least four more become moderately prepared 
on freedom of expression. As for the public administration reform area, a majority of candidate countries and potential candidates are moderately 
prepared in this area already in 2015. 
Indicator  2: Weighted  score  based  on  8  external  sources  taken  in  three  groups,  each  weighted  one  third  1.  [Corruption  Index 
(Transparency International) and Control of Corruption (World Bank); 2. Press Freedom (Reporters without Borders) and Freedom 
of  Press  (Freedom  House);  3.  Government  Effectiveness  (World Bank),  Rule  of  Law  (World Bank),  Regulatory  Quality  (World 
Bank) and Voice and Accountability (World Bank)]* 

2018 

2019 

Target 2020 

>55 

>55 

Baseline 
2010 

Western Balkans: 51.53 
(51.23 in 2013) 

Turkey: 51.77 
(53.55 in 2013) 

Milestones foreseen 

2014 

2015 

2016 

51.55 

50.56 

49.77 

Actual results 

50.60 

48.72 

44.41 

Actual results 

2017 
>52 

>53 

Values: 1 (Worst) - 100 (Best). Based on: 

- 
Corruption Index (Transparency International) -http://www.transparency.org/country 
- 
Control of Corruption (World Bank )-http://web.worldbank.org 
- 
Press Freedom (Reporters without Borders )–https://rsf.org/index2014 
- 
Freedom of Press (Freedom House )-http://www.freedomhouse.org/ 
-  Government Effectiveness (World Bank )-http://web.worldbank.org 
- 
Rule of Law (World Bank )-http://web.worldbank.org 
- 
Regulatory Quality (World Bank )-http://web.worldbank.org 
-  Voice and Accountability (World Bank ) -http://web.worldbank.org 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1.Measures to support for political reforms and related progressive alignment with the Union acquis 
- Western Balkans, of which (EUR million indicative as per CSPs) 
2. Measures to support for political reforms and related progressive alignment with the Union acquis 
- Turkey 
Total 
Expenditure related output covering: Specific Objective 1 - Support for political reforms AND relevant part for Specific Objective 3 - Support for 
progressive alignment with, and adoption, implementation and enforcement of, the Union acquis, including preparation for management of Union 
Structural Funds, the Cohesion Fund and the European Agricultural Fund for Rural Development. 

22 02 01 01 

22 02 03 01 

244,1 

189,3 

433,4 

8 

1 

Outputs 

Measures  to  support  for  political  reforms  and 
related  progressive  alignment  with  the  Union 
acquis - Western Balkans 
Measures  to  support  for  political  reforms  and 
related  progressive  alignment  with  the  Union 
acquis - Turkey 

F 

P 

F 

P 

2014 
8 

8 

1 

1 

Number of outputs foreseen (F) and produced (P) 
2017 
8 

2016 
8 

2018 
8 

2015 
8 

2019 
8 

2020 
8 

9 

1 

2 

9 

1 

2 

8 

1 

1 

1 

1 

1 

Specific Objective 2: Support for economic, social and territorial development,  with a view to a smart, sustainable and inclusive 
growth. 
Indicator  1: Composite  indicator  on  the  readiness  of  candidate  countries  and  potential  candidates  on  fundamental  areas  of  the 
economic criteria These areas are: functioning market economy and competitiveness in the EU 

Definition: This composite indicator aims at showing where candidate and potential candidates stand in terms of their preparations for meeting 
key areas of the two economic criteria, namely the existence of a functioning market economy and the capacity to cope with competitive pressures 
and market forces within the Union. In each of these areas, the state of play (i.e. the readiness) is  assessed according to the following five-tier 
standard assessment scale: Early stage – Some level of preparation - Moderately prepared - Good level of preparation – Well Advanced 

This composite indicator is based on a careful analysis of the situation under each of the areas. Particular emphasis is given to the importance of 
implementation  and  track  records  of  concrete  results  in  each  area.  Accordingly,  these  aspects  are  given  more  weight  than  legal  alignment  and 
institutional framework in the overall assessment. Upcoming enlargement reports will provide an assessment of the areas, used for the preparation 
of  this  composite  indicator.  These  indicators  have  been  introduced  in  the  enlargement  reports  of  2015.  For  further  details,  please  see  the 
Communication on the EU Enlargement Strategy. 

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These result indicators are particularly relevant since they show the results of its enlargement policy including financial assistance  through the 
Instrument for Pre-accession Assistance as regards one main fundamental of the enlargement strategy (i.e. economic criteria). DG NEAR role is to 
support  including  through  financial  support  the  candidate  countries  and  potential  candidates  to  address  the  core  issues  measured  by  these 
indicators. These indicators provide also greater transparency in the enlargement process and should facilitate greater scrutiny of reforms by all 
stakeholders. 

Baseline 
2015 

2014 

2015 

Milestones foreseen 
2016 

2017 

Four cases of early stage of 
preparation in these areas 
(i.e. Bosnia and Herzegovina 
on functioning market 
economy and competitive 
pressures; Kosovo* on 
functioning market economy 
and competitive pressures) 

Actual results 

n.a.* 

Four cases of 
early stage of 
preparation in 
these areas 

Four cases of 
early stage of 
preparation in 
these areas. 

Four cases of 
early stage of 
preparation in 
these areas. 

2018 
Reduced number 
of cases of early 
stage of 
preparation in 
these areas 

2019 

Target 2020 

A majority of 
candidate countries 
and potential 
candidates  reach a 
good level of 
preparation in these 
areas** 

Source of data: Annual enlargement reports – European Commission 
* Results for 2014 are not available since the assessments, used for the preparation of this composite indicator, have been first done in 2015. 
**  Assuming  that  there  will  not  be  any  backsliding  on  these  areas,  the  target  implies  that  by  2020  at  least  two  more  candidate  countries  and 
potential candidates reach a good level of preparation on the functioning market economy; at least three more reach a good level of preparation on 
the capacity to cope with competitive pressures and market forces within the Union. 
Indicator 2: World Bank's "Distance to frontier" (Doing Business) score* 

Baseline 
2010 

1. Western Balkans: 
59.63** 

Milestones foreseen 

2014 

2015 

2016 

2017 
70 

68.66 

68.63 

70.97 

72.31 
71 

Actual results 

2. Turkey: 65.3** 

Actual results 

69.96 

67.30 

67.98 

69.14 

2018 

2019 

Target 2020 

72 

73 

The indicator shows the distance of each economy to the “frontier”, that means the highest performance observed on each of the indicators across 
all economies: 1 (Worst) - 100 (Best) Source: http://www.doingbusiness.org/data/distance-to-frontier. 
** The last DB Report has updated the methodology: both baseline values have been slightly revised upward. Milestones and targets have been 
slightly adjusted accordingly. 
Indicator 3: Average of exports and imports of goods and services/ GDP - % (Source: Eurostat) 

Baseline 
2010 

Western Balkans: 42.24% 
(44.83%* in 2013) 

Turkey: 20.46 
(24.51% in 2013) 

Milestones foreseen 

2014 

2015 

2016 

2017 
52% 

Actual results 

48.68% 

52.76% 

Data n.a. 

Data n.a.  
32% 

25.02% 

23.93%  

Data n.a. 

Data n.a. 

Actual results 

2018 

2019 

Target 2020 

55% 

35% 

The indicator shows the degree of economic convergence of candidate countries and potential candidates towards the European average. 
The projections are based on a hypothesis of growth rate of 1.9% in the EU area and 3.35% in both Western Balkans and Turkey. 
* Excluding Kosovo* - This designation is without prejudice to positions on status, and is in line with UNSCR1244/1999 and the International 
Court of Justice (ICJ) Opinion on the Kosovo declaration of independence. 
Indicator 4: GDP per capita (current prices-PPS) as % of EU level (Source: Eurostat)* 

Baseline 
2010 

2014 

2015 

2016*** 

Milestones foreseen 
2017 
38% 

Actual results 

Western Balkans*: 32.65% ** 
(33.43% in 2013) 

Turkey: 49% 
(53% in 2013) 

34.76% 

32.10% 

43.61% 

60% 

Actual results 

2018 

2019 

Target 2020 

43% 

65% 

65.90% 

64.38% 

64.35% 
*The indicator shows the degree of economic convergence of candidate countries and potential candidates towards the European average. 
** Data excludes Kosovo because there is no GDP data. 
*** For BiH, GDP data for 2016 is that of 2015 since there are no 2016 statistics yet. For Montenegro, the population data for 2016 is that of 2015 
because data for 2016 is missing. 
Indicator 5: Number of economic entities benefitting from IPA II assistance performing modernisation projects in agri-food sector 
IPA resources for modernisations and upgrading of farms and food companies are very limited compared to the sector size in respective candidate 
countries and potential candidates and therefore targets are set only for the supported projects financed from the budget and not for the sector 

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The specific contracts in IPA II agriculture and rural development assistance are implemented in accordance with the N+3 rule which means that  
a given budget allocation in this programme may  actually be implemented (contracted and paid within a period of 3 years following year N).  

1. Western Balkans 

2014* 
0 

0 

2014* 
0 

Milestones foreseen 

2015 

2016 

2017 
520 

2018 

2019 

Actual results 
0 

Milestones foreseen 

2015 

2016 

2017 
120 

2018 

2019 

2. Turkey 

* in 2014 no effective expenditure made/projects implemented; 

0 

0 

Actual results 
0 

Target 2020 

5 250 

Target 2020 

1 220 

Indicator 6: Overall investment in physical capital in agri-food and rural development (EUR) implemented by beneficiaries of IPA 
II assistance 

2014* 
0 

2015 

2016 

2017 
52 600 000 

Milestones foreseen 

2018 

2019 

Target 2020** 

1. Western Balkans 

0 

0 

Actual results 
0 

Milestones foreseen 

2014* 
0 

2015 

2016 

2017 
200 000 000 

2018 

2019 

2. Turkey 

Actual results 

0 

0 

710 000 000 

Target 2020** 

1 586 000 000 

* in 2014 no effective expenditure made/projects implemented; 
** the target for budget year 2020 will be actually implemented as output by the end of 2023.  
The former Yugoslav Republic of Macedonia, Montenegro and Turkey have received entrustment for budget implementation tasks during 2017. 
Albania and Serbia are expected to receive entrustment in early 2018. Expenditure under all programmes should start in 2018. 

Expenditure related outputs 

Outputs 

1. Measures to support for economic, social and territorial development  and related progressive 
alignment with the Union acquis - Western Balkans, of which (indicative as per CSPs) 
Support for economic, social and territorial development and related progressive alignment with 
the Union acquis 
2. Measures to support for economic, social and territorial development and related progressive 
alignment with the Union acquis - Turkey 
Support for economic, social and territorial development and related progressive alignment with 
the Union acquis 
Total 

Budget line 

22 02 01 02 

05 05 03 02 

22 02 03 02 

05 05 04 02 

Draft Budget 2019 

Number 

EUR million 

6 

4 

5 

1 

16 

306.4 

78.0 

94.5 

149.0 

627.9 

Outputs 

2014 
9 

Number of outputs foreseen (F) and produced (P) 
2017 
10 

2016 
10 

2018 
10 

2015 
9 

2019 
10 

2020 
10 

F 

Measures  to  support  for  economic,  social  and 
territorial  development  and  related  progressive 
alignment  with  the  Union  acquis  -  Western 
Balkans 
Measures  to  support  for  economic,  social  and 
territorial  development  and  related  progressive 
alignment with the Union acquis - Turkey 
Expenditure related outputs covering: Specific Objective 2 - Support for economic, social and territorial development AND the relevant part from 
Specific Objective 3  -  Support for progressive alignment with, and adoption, implementation and enforcement of, the Union acquis, including 
preparation for management of Union Structural Funds, the Cohesion Fund and the European Agricultural Fund for Rural Development 

10 

10 

10 

10 

P 

F 

P 

6 

6 

6 

6 

6 

9 

6 

6 

6 

7 

7 

Specific  Objective  3: Strengthening  of  the  ability  of  the  beneficiaries  listed  in  Annex  I  of  the  IPA  II-Regulation  to  fulfil  the 
obligations  stemming  from  Union  membership  by  supporting  progressive  alignment  with,  and  adoption,  implementation  and 
enforcement of, the Union acquis, including preparation  for  management of Union  Structural Funds, the Cohesion Fund and the 
European Agricultural Fund for Rural Development 
Indicator 1: Composite indicator on the readiness of candidate countries and potential candidates on alignment to the acquis 

Definition:  This  composite  indicator  aims  at  showing  where  the  candidate  countries  and  potential  candidates  countries  stand  in  terms  of  their 
preparations for fulfilling the obligations stemming from the membership, including the alignment to the 33 acquis chapters. In each of the acquis 

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chapters432, the state of play (i.e. the readiness) is assessed according to the following five-tier standard assessment scale: Early stage – Some level 
of preparation - Moderately prepared - Good level of preparation – Well Advanced 

This composite indicator is based on a careful analysis of the situation under each of the 33 acquis chapters. Particular emphasis is given to the 
importance of implementation and track records of concrete results in each chapter. Upcoming enlargement reports will provide an assessment of 
these  acquis  chapters,  used  for  the  preparation  of  this  composite  indicator.  For  further  details,  please  see  the  Communication  on  the  EU 
Enlargement Strategy433. 

These result indicators are particularly relevant for DG NEAR since they show the results of its enlargement policy including financial assistance 
through  the  Instrument  for  Pre-accession  Assistance  as  regards  the  third  criteria434.  DG  NEAR  role  is  to  support  including  through  financial 
support the candidate countries and potential candidates to address the issues measured by these indicators. These indicators provide also greater 
transparency in the enlargement process and should facilitate greater scrutiny of reforms by all stakeholders. 

Baseline 
2015 

2014 

2015 

2016 

2017 

Milestones foreseen 

- 51 cases of early stage of 
preparation in the 33 chapters435.  
- No majority of candidate 
countries and potential candidates 
which are moderately prepared in 
10 out of 33 chapters. 

Actual results 

n.a* 

- 51 cases of early stage of 
preparation in the 33 chapters436.  
- No majority of candidate 
countries and potential candidates 
which are moderately prepared in 
10 out of 33 chapters. 

37 cases of 
early 
preparation 
in this area. 

30 cases of 
early stage of 
preparation** 

2018 
Reduced 
numbers of 
early stage in 
these areas 

2019 

Target 2020 

A majority of 
candidate countries 
and potential 
candidates are 
moderately 
prepared in at least 
30 out of 33 
chapters. 

Source of data: Annual enlargement country reports – European Commission  
* Results for 2014 are not available since the assessments, used for the preparation of this composite indicator, have been first done in 2015. 
** The figure does not include BiH because it has not been scored in 2017. 

Indicator 2: Number of economic entities progressively upgrading towards EU standards in agri-food sector 

1. Western Balkans 

Baseline 

2. Turkey 

2014* 
0 

0 

2014 
0 

0 

Milestones foreseen 

2015 

2016 

2017 
330 

0 

Actual results 
0 

Milestones foreseen 

2015 

2016 

2017 
100 

2018 

2019 

0 

Actual results 
0 

3 328 

Target 2020 

1 115 

2018 

2019 

Target 2020** 

* in 2014 no effective expenditure made/projects implemented; 
** the target for budget year 2020 will be actually implemented as output by the end of 2023. 

Expenditure related outputs 
The  Expenditure  related  outputs  designated  for  Specific  Objective  3  -    Support  for  progressive  alignment  with  and  adoption, 
implementation  and  enforcement  of,  the  Union  acquis,  including  preparation  for  management  of  Union  Structural  Funds,  the 
Cohesion  Fund  and  the  European  Agricultural  Fund  for  Rural  Development  are  split  in  the  Expenditure  related  outputs  of  the 
following specific objectives, depending on their relevance: 
Specific Objective 1 - Support for political reforms 
Specific Objective 2 - Support for economic, social and territorial development 

Specific Objective 4: Strengthening regional integration and territorial cooperation involving the beneficiaries listed in Annex I of 
the IPA II-Regulation, Member States and, where appropriate, third countries within the scope of Regulation (EU) No 232/2014 of 
the European Parliament and of the Council 
Indicator 1: Number of cross-border cooperation programmes concluded among IPA beneficiaries and between IPA/ EU Member 
States 

Baseline 
2010 

IPA-IPA beneficiaries: 8 

2014 

2015 

2016 

2017 
10 

2018 

2019 

Milestones foreseen 

Actual results 

Target 2020 

10 

432   BiH and Kosovo* Kosovo* - This designation is without prejudice to positions on status, and is in line with UNSCR1244/1999 and the International Court of 

Justice (ICJ) Opinion on the Kosovo declaration of independence -  are assessed according to the European Standards, not the chapter structure. 

433   COM (2015) 611 final, 10.11.2015 
434   This criteria is about the administrative and institutional capacity to effectively implement the acquis and ability to take on the obligations of membership. 
435   BiH and Kosovo* Kosovo* - This designation is without prejudice to positions on status, and is in line with UNSCR1244/1999 and the International Court of 

Justice (ICJ) Opinion on the Kosovo declaration of independence - are assessed according to the European Standards, not the chapter structure. 

436   BiH and Kosovo* Kosovo* - This designation is without prejudice to positions on status, and is in line with UNSCR1244/1999 and the International Court of 

Justice (ICJ) Opinion on the Kosovo declaration of independence - are assessed according to the European Standards, not the chapter structure. 

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8 

8 

Milestones foreseen 

2014 

2015 

2016 

2017 
12 

2018 

2019 

0 

2014 

10 

2015 

8 

18 

Actual results 
10 

10 
Milestones foreseen 

2016 

2017 
22 

Actual results 
19 

19 

2018 

2019 

Target 2020 

12 

Target 2020 

22 

Baseline 
2010 

IPA-EU MS: 12 REGIO 

Baseline 
2010 

Total CBC programmes: 
20 

Expenditure related outputs 

Outputs 

Budget line 

Multi-country programmes, regional integration and territorial cooperation** 
Contribution to Erasmus+ 
Contribution to the Energy Community for South-East Europe 
Cross-border cooperation (CBC) — Contribution from Heading 4 
Participation  of  candidate  countries  and  potential  candidates  in  ERDF  ETC— 
Contribution from Heading 4 (IPA II) 
Total 
* Expenditure related outputs include communication, monitoring, evaluation and audit actions. 
** Multi-country programmes include contributions by the Union budget to financial instruments. 

22 02 04 01 
22 02 04 02 
22 02 04 03 
13 05 63 02 

13 03 64 02 

Draft Budget 2019 

Number 
24 
1 
1 
10 

4 

42 

EUR million 
603.7 
30.311 
4.5 
45.74 

9.8 

698.1 

5. Programme contribution to the Sustainable Development Goals 

All SDGs are somewhat addressed through IPA II cooperation and policy dialogue. 
Indeed,  the  EU  Enlargement  Policy,  and  IPA  II,  as  consequence,  will  continue  to  focus  efforts  on  the  rule  of  law,  including 
security,  fundamental  rights,  democratic  institutions  and  public  administration  reform  (goal  16),  as  well  as  on  economic 
development  and  competitiveness  (goal  8).  The  fundamentals  for  meeting  the  Copenhagen  and  Madrid  membership  criteria  are 
fully  consistent  with  the  fundamentals  of  the  2030  Agenda.  Also  considering  that  gender  equality  still  represents  a  reason  of 
concern  of  the  agenda,  priority  will  be  given  to  this  goal  (5)  by  means  of  implementation  of  actions  consistent  with  the  Gender 
Action Plan. Whenever possible, and in relation to the development of relevant statistical indicators, the above-mentioned areas, as 
well as other less explicitly focused, will be addressed. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

For the IPA countries the following instruments are provided: 

Guarantee Facility I under the Western Balkan Enterprise Development and Innovation Facility (EDIF) 

The Financial Instrument of the European Union for the  Guarantee Facility  contributes to achieving  the objectives of  enhancing 
socio-economic growth of the Western Balkans. Its major objectives are the creation of preconditions for the emergence and growth 
of innovative and high-potential companies. The instrument  will  guarantee SME loan portfolios issued by commercial banks for 
new SME lending. This will entail improving SME access to lending and potentially lowering the cost of borrowing. 

Guarantee Facility II under the Western Balkan Enterprise Development and Innovation Facility (EDIF) 

The Financial  Instrument of the European Union for the  Guarantee Facility contributes to achieving  the objectives of  enhancing 
socio-economic growth of the Western Balkans. Its major objectives are the creation of preconditions for the emergence and growth 
of innovative and high-potential companies. The instrument  will  guarantee  SME loan portfolios issued by commercial banks for 
new SME lending. This will entail improving SME access to lending and potentially lowering the cost of borrowing. 

Enterprise Expansion Fund (ENEF) under the Western Balkan Enterprise Development and Innovation Facility 

The Financial Instrument of the European Union for the Enterprise Expansion Fund (ENEF) contributes to achieving the objectives 
of  enhancing  socio-economic  growth  of  the  Western  Balkans.  Its  major  objectives  are  the  creation  of  preconditions  for  the 
emergence and growth of innovative and high-potential companies. The instrument will finance development and expansion capital 
in  established  SMEs  with  high-growth  potential  in  their  respective  markets  through  equity  participation.  Under  the  instrument, 
equity and quasi-equity investment can be used. 

Enterprise Innovation Fund (ENIF) under the Western Balkan Enterprise Development and Innovation Facility 

The Financial Instrument of the European Union for the Enterprise Innovation Fund (ENIF) contributes to achieving the objectives 
of  enhancing  socio-economic  growth  of  the  Western  Balkans.  Its  major  objectives  are  the  creation  of  preconditions  for  the 
emergence  and  growth  of  early  stage  innovative  companies  through  equity  investments.  The  instrument  will  finance  early  to 
development  and  expansion  stage  capital  in  innovative  SMEs.  Under  the  instrument,  equity  and  quasi-equity  investment  can  be 
used. 

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Other mixed instruments: 

European Fund for Southeast Europe (EFSE) 

The European Fund for Southeast Europe (EFSE) is a form of public-private-partnership. Its objective is to attract capital from the 
private  sector  thereby  leveraging  public  donor  funds  that  will  assist  the  development  of  the  private  sector  in  the  region.  EFSE 
extends loans to local commercial banks and micro-finance institutions in the Western Balkans for on lending to micro and small 
enterprises  and  households.  European  Investment  Fund  (EIF)  manages  the  EFSE,  the  latter  generating  impacts  at  three  different 
levels: 

 

 
 

supporting micro and small enterprises as the backbone of the local economies, thereby contributing to generating income 
and creating employment, 
satisfying the basic need of decent shelter, 
strengthening local financial markets. 

Green for Growth Fund (GGF)  

The mission of the Green for Growth Fund, Southeast Europe is to contribute, in the form of a public private partnership with a 
layered risk/return structure, to enhancing energy efficiency (EE) and fostering renewable energies (RE) in Southeast Europe and 
Turkey,  predominantly  through  the  provision  of  dedicated  financing  to  businesses  and  households  via  partnering  with  financial 
institutions and direct financing.  

Refinancing  Financial  Institutions  (local  commercial  banks,  non-bank  financial  institutions  such  as  microfinance  institutions  and 
leasing  companies  and  other  selected  financial  institutions)  providing  loans  to  households,  businesses,  municipalities  and  public 
sector for energy efficiency measures or renewable energy projects. Investments through Financial Institutions will constitute the 
majority of GGF's investments. 

Providing direct financing to Non-Financial Institutions (energy service companies, renewable energy companies or projects, small 
scale  renewable  energy  and  energy  efficiency  service  and  supply  companies)  that  meet  GGF  energy  saving  and/or  emissions 
targets, and comply with the technical criteria and GGF exclusion list. 

SME Recovery Support Loan for Turkey 

The overall objective of the SME Recovery Support Loan for Turkey is to mitigate the crisis impact for SMEs and contribute to the 
development  of  the  Turkish  economy  and  employment  sector.  The  main  objective  is  to  support  SMEs  with  concrete  productive 
investments by providing access to attractive and longer-dated debt financing. The co-financing of loans is to be provided to local 
commercial banks operating in Turkey (the ‘financial intermediaries’) for the benefit of eligible investments carried out by  SMEs. 
In the context of the action, the European Investment Bank (EIB) shall extend loans from its own resources together with the Union 
contribution loans. 

More information regarding the Financial instruments can be found at the documents accompanying the Draft Budget as per Art. 
38(5) FR, Art. 49(l)(e) FR, Art. 140(8) FR. 

TRUST FUNDS 

EUTF “Madad Fund” 

Since its establishment in December 2014, most non-humanitarian aid for Syria’s neighbouring countries is channelled through the 
EU  Regional  Trust  Fund  in  response  to  the  Syrian  crisis,  the  “Madad  Fund”  (EUTF  Madad).  The  EUTF  aims  to  bring  a  more 
coherent  and  integrated  EU  response  to  the  crisis  by  merging  various  EU  financial  instruments  and  contributions  from  Member 
States into one single flexible mechanism for quick disbursement. The Trust Fund primarily addresses longer term resilience needs 
of Syrian refugees in neighbouring countries  such as Jordan, Lebanon, Turkey and Iraq, as  well as the hosting communities and 
their administrations.  

The mandate of the Trust Fund has been extended so that it can also operate in the Western Balkans where relevant to the flow of 
Syrian refugees. In the future the Trust Fund may also start financing resilience activities inside Syria and could become a  funding 
tool for reconstruction, resettlement and governance support following a political settlement of the crisis. 

IPA contribution to EUTF Madad: EUR 172.3 million in 2015 (committed) and EUR 15 million in 2016 (committed) 

Facility for Refugees in Turkey (FRT) contribution to EUTF Madad: 

The overall contribution is EUR 280 million, of which EUR 55 million in 2016 and EUR 225 million in 2017. 

7. Programme related additional information 

IPA contribution to the Facility for Refugees in Turkey (FRT): 

  EUR 55 million (EU budget) committed in 2016 under voted budget appropriations (including EUT 18 million transferred 

from ENI to IPA) at budget line 22.020302. 

  EUR  605  million  (EU  budget)  committed  in  2017  on  budget  line  22.020302  (including  EUR  85  million  transfer  from 

CFSP and EUR 10 million transfer from DCI) 

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Of the EUR 3 billion second tranche of the Facility for Refugees in Turkey, EUR 2 billion will be financed from the EU budget. 
Out of the EU budget contribution, it is proposed that IPA will contribute EUR 850 million in 2019 (and HUMA EUR 600 million, 
of which EUR 50 million by reprogramming within the existing HUMA envelope). This comes in addition to the proposed EUR 
500  million  EU  budget  contribution  under  IPA  in  Draft  Amending  Budget  N°3/2018437  (and  EUR 50 million  reprogrammed  in 
2018 within the existing HUMA envelope). 

Policy areas 

Pre-accession  assistance  is  intended  to  support  the  Enlargement  policy  of  the  Union,  i.e.  to  prepare  candidate  countries  and 
potential candidates with a European perspective. In this context, the assistance pursues four specific objectives which are equally 
valid  for  all  beneficiaries  listed  in  Annex  I  of  IPA  II  Regulation.  However,  the  assistance  needs  to  be  tailored  to  the  specific 
situation  of  the  individual  IPA  II  beneficiary,  depending  on  its  current  state  of  preparedness  and  the  foreseeable  further  path  to 
accession. There will therefore be a different mix of measures to provide the assistance and some of the specific objectives  of the 
instrument will be more relevant for one IPA II beneficiary than for another. 

The assistance is provided on the basis of a thorough analysis of the needs and capacities of the individual IPA II beneficiary. These 
needs and capacities are described in the Indicative Strategy Paper: a high level planning document valid for the years 2014-2020. 
This document describes the priorities for assistance and the sequencing of measures. The Assistance is also provided partially in 
the  frame  of  candidate/potential  candidate  programmes  and  partially  in  the  form  of  regional  programmes  covering  the  needs  of 
several beneficiaries. Programmes normally have a time horizon of several years since they are intended to support sector reform 
plans in the candidate countries and potential candidates; such reforms usually take several years to bear fruit. 

Pre-accession assistance under IPA II is to be provided to the beneficiaries following a holistic approach, based on the needs and 
capacities of the beneficiaries. The Indicative Strategy Paper(s) outline the support in the five policy areas identified in the basic 
legal act. In line with the coordinated and comprehensive approach to managing pre-accession assistance, all allocations for IPA II 
are therefore initially brought under the same budget Title 22.02. 

There is, however, one major exception. In the policy area "agriculture and rural development", assistance includes management by 
DG  AGRI  in  the  beneficiaries  which  are  already  operating  under  indirect  (formerly  decentralised)  management  or  which  are 
preparing  for  indirect  management.  Given  the  complexity  of  the  rules  and  the  size  of  the  Union  acquis,  preparations  for  the 
implementation of the Common Agricultural Policy and shared management of related Union Funds need to start very early; these 
preparations are best led by the competent service of the Commission, i.e. DG AGRI. This justifies bringing the necessary amounts 
under  Title  5.  In  addition,  cross-border  co-operation  between  candidate  countries  and  potential  candidates  and  Member  States 
continues to be managed by DG REGIO. 

Overall,  the  agriculture  and  rural  development  policy  area  seeks  to  contribute  to  security  and  safety  of  food  supply  as  well  as 
competitive, sustainable and efficient agriculture and maintenance of diversified and viable farming systems in vibrant rural areas 
of the Western Balkans and Turkey, whilst strengthening their ability in the agricultural sector to fulfil the obligations stemming 
from  membership.  Rural  development  programmes  under  the  agriculture  and  rural  development  policy  area  aim  to,  in  line  with 
Union priorities for rural development, by the means of development of human and physical capital, increase ability  of the agri-
food sector to cope with competitive pressure and market forces as well as to progressively align with the Union standards. At the 
same time it is pursuing economic, social and environmental goals in balanced territorial development of rural areas. Investment 
support  is  channelled  through  management  and  control  systems  which  correspond  to  the  good  governance  standards  and  the 
principles of modern and efficient public administration, and resemble these respective structures with functions established in the 
EU Member States for similar purposes. 

437  

COM(2018) 310, 23.5.2018. 

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HEADING 4: Global Europe 

Instrument of financial support for encouraging the economic development of the 
Turkish Cypriot community and amending Council Regulation (EC) No 2667/2000 on 
the European Agency for Reconstruction 
Lead DG: SRSS 

I. Programme Overview 

What the programme is about? 

The  programme  aims  to  facilitate the  reunification  of  Cyprus  by  encouraging  the  economic  development  of  the  Turkish  Cypriot 
community, with particular emphasis on: 

 
 
 

the economic integration of the island; 
improving contacts between the two communities and with the EU; and 
the  preparation  for  the  EU  body  of  laws  (also  referred  to  as  the  EU  acquis)  following  a  comprehensive  settlement  of  the 
Cyprus issue. 

Specifically, the Aid Programme contributes significantly through private sector development schemes, facilitating the involvement 
of the World Bank and the European Bank for Reconstruction and Development, and human capital development. Measures to be 
financed  under  the  Aid  Programme  are  exceptional  and  transitional  in  nature  and  are  intended,  in  particular,  to  prepare  and 
facilitate, as appropriate, the full application of the EU acquis in the areas where the Government of the Republic of Cyprus does 
not exercise effective control, in view of the withdrawal of its suspension in accordance with Article 1 of Protocol No 10 to the Act 
of Accession, following a solution to the Cyprus problem. 

EU added value of the programme 

The  programme  is  the  only  EU  funding  for  the  Turkish  Cypriots,  who  are  EU  citizens.  There  is  very  little  assistance  from 
individual  Member  States  due  to  difficult  legal  and  political  circumstances  in  the  de-facto  divided  island.  The  EU  programme 
supports reunification efforts and prepares the Turkish Cypriots for the lifting of the suspension of the application of the acquis in 
those areas of the Republic of Cyprus in which the Government of the Republic of Cyprus does not exercise effective control. The 
EU contribution, in supporting the political process, economic integration and improved living standards, will be vital. Economic 
development of the Turkish Cypriot community in order to facilitate the reunification of Cyprus is mentioned very prominently in 
the Aid Reg ulation.  
II. Programme Update 

Implementation Status (2014-2017) 

The Aid Regulation dates from 2006 ((EC) No 389/2006) and the Commission has since then continued to deliver assistance under 
the  Aid  Regulation  to  facilitate  the  reunification  of    Cyprus  by  encouraging  the  economic  development  of  the  Turkish  Cypriot 
Community, and by working under six objectives: 
- 
- 
- 
- 
- 

Objective1: Developing and restructuring of infrastructure; 
Objective 2: Promoting social and economic development; 
Objective 3: Fostering reconciliation, confidence building measures, and support to civil society; 
Objective 4: Bringing the TCc closer to the EU; 
Objective 5 and 6: Preparing the Turkish Cypriot community to introduce and implement the acquis. 

The Aid Programme continues to target the six objectives of the  Aid Regulation  (EC) No 389/2006. It will also remain ready  to 
accommodate  developments  in  the  settlement  process  and  finance  confidence-building  measures  resulting  from  this  process,  as 
done in the case of the opening of two new crossing points within the framework of the latest round of talks between the leaders in 
Cyprus. Difficulties encountered in the implementation of the programme have included problems arising from the non-recognised 
status of the beneficiary, poor absorption capacity and disputes with contractors. 
The Multiannual Financial Framework (MFF)438 2014-20 provides a multi-annual perspective to the programme with a provision 
for stable, annual funding. The assistance programme is, however, of an exceptional, transitional and temporary nature, aiming to 
facilitate the reunification of Cyprus and Council Regulation No 1311/2133, laying down the MFF, allows for a revision in the case 
that a reunification is achieved during the MFF period (in the absence of this, no major changes of strategy can be made. Between 
2006 and the end of 2018, EUR 515.4 million was programmed for operations under the Aid Regulation. In the period of 2014-
2018, the allocations amount to EUR 164.6 million. 

Key achievements  

The Programme aims at facilitating the reunification of Cyprus by encouraging the economic development of the Turkish Cypriot 
community with particular emphasis on the economic integration of the island, improving contacts between the two communities 
and with the EU, and preparation for the EU acquis. 

438 Council Regulation 2015/623 of   21 April 2015. 

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Major  infrastructure  works  mostly  contracted  in  2009  have  been  completed.  Further  infrastructure  investments,  with  a  strong 
environmental and bi-communal focus, are going to be implemented. Continued support is provided for strengthening the private 
sector  and  labour  market  measures,  with  an  emphasis  on  innovation  and  increasing  employability.  Likewise,  concrete  measures 
have been put in place aimed at eradicating animal disease and improving food safety standards. The 'confidence building measures' 
(support  for  Committee  on  Missing  Persons  and  support  for  the  Technical  Committee  for  Cultural  Heritage)  have  shown  solid 
progress and good bi-communal acceptance. Two new Green Line crossing points, specifically requested as a confidence building 
measure, are  being  funded. Intensive  efforts  continue on the  preparation for the implementation of the  acquis  in the areas of the 
Republic  of  Cyprus  where  the  government  does  not  exercise  effective  control,  in  view  of  the  withdrawal  of  its  suspension  in 
accordance with Article 1 of Protocol No 10 to the Act of Accession, upon the entry into force of a comprehensive settlement of the 
Cyprus problem.  
The  Commission  reports  annually  on  implementation  of  the  Regulation439.  Some  examples  and  more  details  of  programme 
achievements since inception are: 
  Major infrastructure works mostly contracted in 2009 have been completed. Further infrastructure investments, with a strong 
environmental  and  bi-communal  focus,  are  going  to  be  implemented.  The  large  wastewater  treatment  plant  in  Nicosia  was 
inaugurated  in  2014.  This  is  the  largest  such  plant  on  the  island  and  serves  300,000  "population  equivalent"  in  both 
communities. The technology used allows the treated water to be used for agriculture purposes. 

  Actions to set up a sustainable integrated waste management plan have been funded allowing the collection and transport of 
solid waste to the central landfill to be optimised and the recycling of valuable resources to be started. Also, concrete measures 
have been put in place aimed at eradicating animal disease and improving food safety standards.  

  Around 400 grant awards have been made for farmers, private sector development, community development, civil society and 
lifelong learning establishments. These helped farms and businesses to modernise and improve competitiveness, and schools 
along  with  other  educational  establishments  to  improve  teaching  methods  and  meet  the  labour  market  needs.  Work  in  the 
communities  and  with  civil  society  organisations  helped  develop  advocacy,  and  improve  community  services  and  civic 
engagement. 

  New Green Line crossing points, specifically requested as a confidence building measure, are being funded.  
  A high level of output was achieved by the Committee on Missing Persons (CMP), which has exhumed 1,217 sets of remains, 
of which 856 were genetically identified (December 2017 figures). The CMP’s objective is to recover, identify, and return to 
their  families,  the  remains  of  2002  persons.  The  CMP  establishes  the  fate  of  those  persons  declared  missing  by  both 
communities as a consequence of the tragic events of 1963-64 and 1974. The Aid Programme has financed around 75% of the 
CMP costs since 2006. 

  The  bi-communal  Technical  Committee  for  Cultural  Heritage  (TCCH)  was  established  in  2008  for  the  promotion  and 
protection of the rich and diverse cultural heritage of the island. EU contributions under the Aid Regulation started in 2011 and 
amount to nearly EUR 15 million to date. Over 70 cultural heritage sites have benefitted from this assistance. 

  The Commission, through its EU Infopoint and other projects, has carried out a range of communication and visibility actions 
(499)  in  2014-2017,  providing  information  about  EU  policies,  priorities  and  actions  in  support  of  the  TCc,  and  promoting 
European culture. This has considerably enhanced the visibility of the EU in the northern part of Cyprus.  

  The Aid Programme supports scholarships for Turkish Cypriot students and professionals, which both provide experience and 
a  route  to  qualifications  abroad  and  contribute  to  the  image  of  the  EU  among  Turkish  Cypriots.  Students  and  professionals 
from  the  TCc  have  no  or  only  limited  access  to  EU  scholarship  programmes.  Since  2007,  11  annual  grant  schemes  have 
delivered over 1,000 grants for study in EU places of learning.  
Intensive efforts continue on the preparation for the implementation of the acquis in the areas of the Republic of Cyprus where 
the  government  does  not  exercise  effective  control  upon  the  entry  into  force  of  a  comprehensive  settlement  of  the  Cyprus 
problem.  Preparation  for  the  acquis  takes  place  mainly  through  the  TAIEX  instrument  (expert  missions,  training  courses, 
workshops and study visits) with around 839 TAIEX actions in 2014-2017. 

 

Contribution to policy achievements 

The  main  policy  objective  under  the  legal  base  (Regulation  (EC)  No  389/2006)  is  the  reunification  of  Cyprus  and  the  Aid 
Programme  has  supported  this  with  a  distribution  of  resources  among  the  objectives  specified  in  the  Regulation.  The  European 
Court of Auditors in its Special Report440concluded: "The Commission succeeded in developing a programme where the objectives 
of the instrument were reflected in the interventions funded."  

Evaluations/ Studies conducted  

The  evaluation  of  TAIEX  activities  in  support  of  the  TCc  aid  programme  was  completed  in  2014  with  recommendations  on 
methods  for  priority  setting,  quality  control,  detailing  of  milestones  and  respecting  absorption  capacity.  Following  the  general 
evaluation of the aid programme in 2013, a reassessment of programme indicators was carried out. Data  were collected for many 
sectors and a series of new indicators was proposed. It is clear, however, that much data concerning the TCc are not available and 
that adequate mechanisms for data collection are not in place. 

A 2012 audit by the European Court of Auditors (Special Report 6/2012) was generally positive about the intervention methods and 
results. The ECA main conclusions were: 

439 The 11th annual report, covering 2016, was published on 07.07.2017 (COM(2017) 372 final). 
440 Special Report No 6/2012 — European Union assistance to the Turkish Cypriot community. 

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  The  Commission  succeeded  in  developing  a  programme  where  the  objectives  of  the  instrument  were  reflected  in  the 
interventions  funds.  It  was  also  able  to  quickly  set  up  a  programme  management  office,  nevertheless  the  main  weakness 
resulted from the office not operating under more devolved procedure like EU delegation  

  The programme addresses and appropriately prioritises all sectors referred to in the regulations objectives; and 
  The programme has assisted many different beneficiaries across the TCc and some important results have been achieved. 

In 2015, the European Court of Auditors carried out a follow-up on the 2012 audit of the programme and reported its statement of 
Preliminary Findings to the Commission in early 2016. The Court considered that the majority of the audit recommendations made 
in respect of the controls and functioning of the Task Force for EU assistance to the TCc were fully implemented or met in most 
aspects. Some other recommendations (e.g. giving priority to a new project in the water supply sector or developing a programme 
to enable the whole country to benefit from EU funding following reunification) were assessed as "no longer relevant" in light of 
changed circumstances. The Commission agreed with the Court's conclusions. 

In 2017, the  IAS carried out  an audit on the  financial  management of the SRSS, including  the  financial  management  of the  Aid 
Programme.  The objective of the audit encompassed, amongst others, the adequacy of the design and the effective implementation 
of the internal control system for financial management (legality and regularity and efficiency of the financial workflow).  The IAS 
identified weaknesses in the internal control environment put in place in the procurement procedures.  The recommendations are 
being addressed in the action plan. 
In 2018 an external evaluation of the Aid Programme is planned. 

Forthcoming implementation (2018-2019)  

The Cyprus settlement process remains in suspense  following the failure of the June/July 2017 multilateral conference in Crans-
Montana.  This uncertainty remains a major and permanent unknown as progress in the settlement process would entail a potential 
significant revision of the programme, with an increased focus on providing support to carry forward the results of the negotiations. 

The mandate of the Aid Regulation remains unchanged in the meantime and the Commission stands ready to  provide support. A 
maximum  degree  of  flexibility  is  therefore  necessary.  The  situation  and  needs  for  2019  cannot  be  easily  predicted.    The  2018 
annual action programme is, in the meanwhile, being prepared for adoption in the second half of 2018. Confidence-building actions 
will continue.   

III. Programme key facts and performance framework 

1. Financial programming 

Council  Regulation (EC)  No 389/2006  of  27  February  2006  establishing  an  instrument  of  financial 
support for encouraging the economic development of the Turkish Cypriot community and amending 
Council Regulation (EC) No 2667/2000 on the European Agency for Reconstruction 

2014 - 2020 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

31,5 
31,5 

30,6 
30,6 

33,2 
33,2 

34,8 
34,8 

34,5 
34,5 

33,1 
33,1 

33,8 
33,8 

Total 
Programme 
231,5 
231,5 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
34,836 

Impl. Rate 
100,00 % 

PA 
19,145 

Impl. Rate 
92,05 % 

CA 
34,473 

Impl. Rate 
0,00 % 

PA 
26,000 

Impl. Rate 
20,18 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

100,00 % 

20,18 % 

92,05 % 

0,00 % 

34,473 

19,145 

26,000 

34,836 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to Europe 2020 headline targets 
75% of the population aged 20-64 should be employed 
The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
The share of early school leavers should be under 10% and at least 40% of the younger generation should have a tertiary degree 
20 million less people should be at risk of poverty 

Contribution to Europe 2020 priorities 
The types of actions foreseen are:   
  Smart  Growth:  projects  (grants/technical  assistance)  supporting  SMEs  and  improvement  of  product  standards  and  smart 

specialisation; 

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  Sustainable growth: grants to develop competitiveness of SMEs, and projects contributing to improvements in vehicle driver 

 

licensing and investments for vehicle safety inspections; and 
Inclusive  growth:  projects  (grants/technical  assistance)  contributing  to  labour  market  development  and  for  harmonisation  of 
standards in vocational education, grants for lifelong learning establishments. 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Waste water re-use 
Renewable energy 
Solid waste recycling 
Total 

Budget 2018 
(EUR Million) 
8 
0.3 
1.7 
10 

DB 2019 
(EUR Million) 
7 
1 
3 
11 

2014 
3 

2014 – 2016 

2015 
11.5 

2016 
16.5 

2017-2018 estimates 
2018 
2017 
10 
10.5 

2019-2020 programming 
2020 
2019 
11 
11 

Total 
2014-2020 
70.5 

The  Aid  Programme  for  the  TCc  includes  assistance  for  infrastructure  development  and  environment  as  objectives  of  the  Aid 
Regulation.  Major  infrastructure  works  mostly  contracted  in  2009  have  been  completed.  Additional  infrastructure  works,  in  the 
sector of environment, have been contracted and will be continued to be contracted in 2018 and 2019: 
 

2015 Annual Programme:  Sewerage networks, connections to wastewater treatment, water re-use (works): EUR 11.5 million 
for works and supervision; Solid waste sector (Animal by-product works): EUR 2.4 million.  Those projects are expected to be 
contracted in 2018. 

  A substantial amount – EUR 16.6 million (2016 Annual Programme) – is expected to be contracted before the end of 2018 for 

the repair works of the Famagusta Sewage Network. 

  A global envelope of EUR 11.2 million has been allocated in the 2017 Annual Programme on Technical Assistance to Local 
Infrastructure Facility (EUR 2.5 million) to help the local communities in preparing infrastructure investments and on a Local 
Infrastructure  Facility  (EUR  8.7  million)  to  finance  prioritised  and  shortlisted  infrastructure  projects  submitted  by  the  local 
communities. 

  The  2018  Annual  Programme  has  not  yet  been  adopted  and  is  still  in  programming  phase,  but  a  substantial  envelope  is 

expected to be reserved for major infrastructures projects. 

In addition, TAIEX activity targets several issues related to the EU Environmental acquis. 

All  the  actions  listed  above  can  be  considered  directly  or  indirectly  climate  actions  (both  for  mitigation  and  adaptation). 
Environmental infrastructures (solid waste management system and sewer systems) will allow direct reduction of greenhouse gas 
emissions.  Multi-stakeholders  capacity  building  activities  in  water  and  waste  sector  as  well  as  TAIEX  assistance  in  the  EU 
Environmental acquis will allow mainstreaming climate change issues and derived actions at different levels. 

Gender mainstreaming 
Through its assistance to civil society, the programme has provided support to different Women's Associations and Networks. 

4. Performance information 

General objectives 
General Objective 1: To facilitate the reunification of Cyprus by encouraging the economic development of the Turkish Cypriot 
community  with  particular  emphasis  on  the  economic  integration  of  the  island,  on  improving  contacts  between  the  two 
communities and with the EU, and on preparation for the acquis communautaire. 

Specific objectives 
Specific Objective 1: To facilitate the reunification of Cyprus by encouraging the economic development of the Turkish Cypriot 
community  with  particular  emphasis  on  the  economic  integration  of  the  island,  on  improving  contacts  between  the  two 
communities and with the EU, and on preparation for the acquis communautaire. 
Indicator 1: Reconciliation and confidence building: "Tendency to trust the EU as an institution" 

Baseline 2013 

57% 

2014 

2015 

66%* 

51% 

Milestones foreseen 

2017 
55% 

2018 
56% 

2019 
57% 

2016 
53% 
Actual results 
52% 

52%*** 

Target 2020 

60%** 

*The 2014 figure may have been the result of re-starting the settlement talks and high optimism 
** Minor increase compared to baseline due to slow process of approximation to the acquis *** Data available from spring 2017 
Source of data: Eurobarometer 

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Baseline 2013 

290 
(cumulative) 

Baseline 
2013 

EUR 3 411 593 

Target 2020 

420 

Target 2020 

EUR 8 500 000 

Indicator 2: Number of enterprises having received EU support in the form of a grant 

P r o g r a m m e   S t a t e m e n t s  

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2014 

2015 
330 

2016 

2017 
370 

2018 
370 

2019 
420 

Milestones foreseen 

330 
Indicator 3: Cross-green-line trade volume in process of progressive increase 
Milestones foreseen 

330 

Actual results 
330 

2014 

2015 

2016 

2017 
6 500 000 

2018 
5 270 000. 

2019 

3 520 045 

3 613 989.13 

4 374 968.06  4 790 963.85 

Source: Republic of Cyprus   
Indicator 4: To increase EU visibility in northern Cyprus: Communication actions 

Baseline 2013 

49 actions/year 

2014 

2015 

53 

188* 

Milestones foreseen 

2016 
50 
Actual results 
138 

2017 
90 

120 

2018 
90 

2019 
90 

Target 2020 

60 actions/year 

Source of data: European Commission. * The high result (188 actions) obtained in in 2015 is due to a very active, new "Infopoint" project, which 
delivered a much higher output than expected. 

Expenditure related outputs 

Outputs 

1. development of infrastructure actions 
2. social/economic development actions 
3. reconciliation, confidence building actions 
4. bringing TCs closer to the Union 
5/6. preparation for acquis 
7. horizontal actions 
Total 

Budget line 

13 07 01 
13 07 01 
13 07 01 
13 07 01 
13 07 01 
13 07 01 

Draft Budget 2019 

Number 
4 
5 
3 
1 
90 TAIEX Actions 
5 
108 

EUR million 

33.1 

5. Programme contribution to the Sustainable Development Goals 

Through its activities, the Programme is contributing to achieve the following main SDGs: 
SDG 4 Quality Education – via grants the programme helps in promoting lifelong learning opportunities for all.  
SDG 9 Industry, Innovation and Infrastructure –helps in building resilient and sustainable infrastructure and fosters innovation. 
SDG  12  Responsible  Consumption  and  Production  –  through  assistance  to  SMEs  to  upgrade  standards  promotes  sustainable 
production patterns. 
SDG 16 Peace, Justice and Strong Institutions – through assistance to Civil Society Organisations and public awareness promotes 
peaceful and inclusive societies for sustainable development. 

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HEADING 4: Global Europe 

European Neighbourhood Instrument (ENI) 
Lead DG: NEAR 
Associated DGs: EAC, REGIO 

I. Programme Overview 

What the programme is about? 

The European Neighbourhood Instrument (ENI) is the  main financial instrument  for implementing the European Neighbourhood 
Policy (ENP). The ENI provides the bulk of EU funding to the 16 ENP partner countries: Algeria, Armenia, Azerbaijan, Belarus, 
Egypt,  Georgia,  Israel,  Jordan,  Lebanon,  Libya,  Republic  of  Moldova,  Morocco,  Syria,  Palestine*,  Tunisia,  and  Ukraine.  Union 
support under the ENI is also used for the purpose of enabling the Russian Federation to participate in particular in cross-border 
cooperation (CBC) and other relevant multi-country programmes, including in cooperation on education (Erasmus+). 

The  vast  majority  of  ENI  funding  is  used  for  bilateral  cooperation,  tailor-made  to  each  Neighbourhood  partner  country.  A  key 
element  in  this  context  are  the  bilateral  ENP  Action  Plans  (AP),  which  are  mutually  agreed  between  the  EU  and  each  partner 
country.  The  AP  sets  out  an  agenda  of  political  and  economic  reforms  with  short  and  medium-term  priorities  and  serves  as  the 
political framework guiding the priorities for cooperation. 

In  addition  to  bilateral  cooperation,  ENI  funding  also  supports  regional,  Neighbourhood-wide  and  Cross  Border  Cooperation 
programmes. These programmes are designed to complement bilateral cooperation programmes. 

The  EU  has  a  strategic  interest  in  seeing  greater  prosperity,  economic  development  better  governance  and  state  and  societal 
resilience  in  its  neighbourhood  and  in  promoting  stability  and  security  in  the  region.  Although  the  responsibility  for  this  lies 
primarily with the countries themselves, the EU can effectively encourage and support their reform and modernisation efforts. The 
objective  of  the  European  Neighbourhood  policy  (ENP)  is  to  build,  together  with  partners,  a  prosperous,  secure  and  stable 
neighbourhood on the basis of shared values and common interests. 

EU added value of the programme 

By acting at the Union level and by streamlining financial resources the EU has greater leverage to achieve a common goal: prevent 
the emergence of new dividing lines between the enlarged EU and its neighbours. The EU provides financial resources to support 
partners’ own reforms and thus stimulates their transition and modernisation programmes. In addition, the EU has a leading role in 
bringing together donors, including major actors outside the EU, to work together on providing a comprehensive response to the 
new challenges in the region. 

Regional cooperation programmes within the framework provided by the Union for the Mediterranean and the Eastern Partnership 
federate countries around common goals and allow them to discuss and seek solutions to common problems and challenges. 

II. Programme Update 

Implementation Status (2014-2017) 

The ENI Regulation was adopted in March 2014 and the Implementing Regulation for Cross-Border Cooperation programmes was 
adopted in August 2014. The first set of multi-annual programming documents were adopted in 2014 and 2015.441  The first round 
of  Annual  Action  Programmes,  Individual  Measures  and  Special  Measures  were  adopted  in  April-December  2014,  with  total 
commitments of EUR 2.3 billion (100 % budget execution reached). The second round was adopted in February-December 2015, 
with total commitments of EUR 2.4 billion (100 % budget execution reached). The third round was adopted in February-December 
2016, with total commitments of EUR 2.3 billion (100 % budget execution reached). Commitments included allocation through the 
ENI ‘umbrella programme’ of: 

  EUR 200 million to seven countries (in 2014); 
  EUR 184.8 million to four countries (in 2015); 
  EUR 193.5 million between East and South Neighbourhood (in 2016); 
  EUR 196.5 million between East and South Neighbourhood (in 2017). 

The situation in the European Neighbourhood region continues to be increasingly volatile due to:  

the crises in Syria and Ukraine;  

 
  major displacement of people within countries and across borders;  
  mass migration movements towards the EU;  
 
  mounting geopolitical pressure.  

unsolved conflicts;  

441   17  multiannual  programming  documents  (Single  Support  Frameworks  and  Multi-annual  Indicative  Programmes)  were  adopted  in  July-October  2014,  four 
multiannual  programming  documents  were  extended  by  one  year  in  December  2015  (2014-2016)  and  13  Cross-Border  Cooperation  joint  operational 
programmes were adopted in December 2015 (2015-2020). 

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In 2017, EUR 2.5 billion were committed for bilateral, regional and Cross-Border Cooperation programmes (including projects via 
the  EU  Trust  Funds  Madad  and  Africa  and  the  Neighbourhood  Investment  Facility),  responding  to  the  challenges  set  out  in  the 
context of the Neighbourhood policy.  

Payments made totalled EUR 1.6 billion in 2014, EUR 1.6 billion in 2015, EUR 2.1 billion in 2016 and EUR 2 billion in 2017.  
The 2015 Review442 of the European Neighbourhood Policy (ENP) highlights the need for more flexibility in the use of financial 
assistance,  built  on  the  need  to  foster  societal  and  economic  resilience.  Partner  countries  will  engage  with  the  EU  based  on  the 
principles of ownership and differentiation.  

In  line  with  the  revised  European  Neighbourhood  Policy,  stabilisation  remains  the  main  political  objective  in  the  Southern 
Neighbourhood. It is advanced through supporting economic growth, good governance, rule of law, the respect of human rights, 
and through enhancing security and cooperating on migration and mobility with partner countries.  

In 2017 a series of agreements with partner countries were reached: signature of Partnership Priorities with Algeria and Egypt and 
adoption  of  Single  Support  Frameworks  with  Egypt,  Jordan,  Lebanon  and  Tunisia  focusing  the  European  assistance  on  relevant 
targeted sectors until 2020. These frameworks complement the Partnership Priorities adopted in 2016 with Jordan and Lebanon. 
In line with Council Conclusions of 12 May 2016443, EU Delegations are striving to engage in joint programming with EU Member 
States.  The  first-ever  European  Joint  Programming  Document  was  produced  by  the  EU  Delegation  in  Jerusalem  and  is  locally 
owned  by  European  stakeholders  and  Palestinian  authorities  for  the  period  2017-2020.  In  Egypt,  a  major  milestone  was  the 
December  2017  endorsement  by  Heads  of  Mission  of  the  "Joint  EU  Programming  for  Development  Cooperation  in  Egypt" 
identifying four priority areas for Joint EU Programming. Other EU Delegations are pursuing efforts on joint programming with 
EU Member States. 

Since 2011 the EU has responded to the Syrian crisis by supporting the broader needs of the Syrian population not only inside the 
country but also in neighbouring Lebanon and Jordan.  These 'Compacts' elaborated in 2016 between the EU and those 2 partner 
countries are the framework through which the mutual commitments made at the London Conference on "Supporting Syria and The 
Region"  (February  2016)  are  translated  into  actions. The  EU-Jordan  Compact  foresees amongst  other  EU  additional  financial 
support and simplified rules for Jordanian exports of a large number of products from 18 special economic zones towards the EU 
for ten year duration, provided job opportunities are given to Syrian refugees, along with Jordanians. Under the compact, Jordan 
will make it possible for more Syrian children to take part in education and vocational training. Jordan currently hosts more than 
1.3 million Syrians. 

The  EU-Lebanon  Compact  foresees  EU  additional  financial  support  and  increased  assistance  in  a  number  of  policy  areas. 
Lebanon  would continue  seeking  ways to improve the regulatory framework in relation to registration and residence permits  for 
refugees. The country currently hosts at least 1.5 million Syrians. It is the country hosting the highest number of displaced persons 
and refugees both per capita and per square kilometer. 

Furthermore, an exceptional effort was made to proceed to a quick formulation and adoption of new programmes under the  North 
of Africa window of the "EU Emergency Trust Fund for Africa" (EUTF). For detailed information see under section 6.  The 
North  of  Africa  Window  of  the  EUTF  aims  at  improving  migration  management  in  all  its  aspects.  In  2017,  the  North  of  Africa 
window  has held 2 Operational Committees (May 2017 and December 2017) and passed 2 emergency  written procedures (April 
2017  and  July  2017),  approved  9  programmes  over  5  countries  amounting  to  EUR  241,1  million  (2  programmes  for  Libya,  1 
programme for Morocco, 1 programme for Egypt, 4 regional programmes and 1 cross-window). In 2017, 17 contracts were signed 
amounting to EUR 174.6 million and payments of EUR 77.7 million were issued. 

The 2016 Joint communication "Strengthening EU support for Tunisia" contributed to significantly step-up our cooperation with 
Tunisia, in substance as well as in volume. Notably, the Communication provides for a financial assistance in grants of up to EUR 
300 million in 2017 and with a "sustained level of funding for the period until 2020" subject to progress. This sum was reached in 
2017,  and  even  surpassed  if  grants  under  the  Neighbourhood  Investment  Facility  (NIF)  (now  (National  Indicative  Programme 
(NIP))  are  taken  into  account.  2017  also  saw  the  adoption  of  the  Single  Support  Framework  for  the  period  2017-20.  The 
document is fully aligned with the Communication and identifies the following priority sectors of intervention: (i) Promoting good 
governance and the rule of law, (ii) Investing in the future: stimulating a sustainable and employment-generating economic growth, 
(iii) Reinforcing social cohesion between generations and regions. With this background, work has started on similarly ambitious 
Annual Action Programmes until the end of the period. In a fluid environment also characterised by limited absorption capacities, 
particular care will be taken to maximise the use of the EU's financial toolbox available for Tunisia. 

In the East, the  political  framework  guiding the priorities for financial assistance are set by the political  agreements, such as the 
Association  Agreements  with  Ukraine,  Georgia  and  Moldova  or  the  recently  signed  Comprehensive  and  Enhanced  Partnership 
Agreement for Armenia. Development of relations with all Eastern partner countries following the principle of differentiation, as 
established in the ENP-review, has advanced well, including ongoing negotiations on a new Agreement with Azerbaijan or critical 
engagement  with  Belarus.  Association  Agendas  with,Georgia  and  Moldova  have  been  updated  and  Partnership  Priorities  with 
Armenia adopted. Negotiations on Partnership Priorities with Azerbaijan and Belarus are ongoing and the update of the Association 

442   (JOIN(2015)50 – 18.11.2015). 
443 http://data.consilium.europa.eu/doc/document/ST-8831-2016-INIT/en/pdf 

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Agenda with Ukraine will start in 2018. Moreover, the "20 Deliverables for 2020" as adopted by the Brussels Summit in November 
2017, set a common work plan for the whole Eastern Partnership for the years to come.  

Key achievements  

The ENI proved a flexible and responsive instrument to address the ENP’s political priorities and react to protracted crises (refugee 
crisis, crisis in Syria and Ukraine).   

Since its adoption in 2014, the ENI has provided significant results, for example: 

For Jordan, EUR 170 million of development assistance from the ENI in response to the Syrian crisis has addressed both refugees 
and host communities’ needs. Most of the ENI funds are used to defray the cost of providing education for Syrian refugee children 
in Jordanian public schools and studying opportunities for University students. The EU funding has contributed to improve the lives 
of the refugees in particular in the education sector. For instance, 663.000 Syrian refugee and host community children and youth in 
Turkey Lebanon and Jordan are provided with access to quality primary education, protective services and psycho-social care. In 
the  higher  education  sector,  the  'HOPES'  project  is  offering  scholarships,  educational  counselling  and  language  training  to  some 
250.000 Syrian refugee and host community youth in Jordan, Lebanon, Egypt, Iraq and Turkey. In Turkey, interventions in the area 
of  education  include  the  construction  and  equipment  of  70  new  schools.  It  has  furthermore  helped  refurbish  critical  emergency, 
maternal and child healthcare infrastructure, provided equipment and training to hospital staff in Lebanon and in Iraq. In addition, 
over  1.5  million  Syrians  and  host  community  members  in  Jordan,  Lebanon,  Turkey  and  Iraq  are  benefiting  from  programs 
strengthening resilience, social cohesion and providing vocational training and socio-economic support, including for the set-up of 
small businesses. A significant part of ENI assistance to the Syrian refugees is channelled through the dedicated EU Regional Trust 
Fund. 

In Palestine, since 2008, the PEGASE programme has provided support to the Palestinian Authority (PA) for a total of more than 
EUR 2.3 billion, also catalysing contributions from other donors. PEGASE's three main components cover the whole spectrum of 
the  most essential services delivered to the Palestinian population. With its  first component,  the programme provides  funding to 
help the PA paying wages to its civil servants.  It targets nearly 58,000, out of around 80,000 civil servants and pensioners in the 
West  Bank  of  which  a  significant  majority  works  in  the  education  and  health  sectors.  With  its  second  component,  PEGASE 
supports  poverty  alleviation  by  contributing  to  the  PA's  national  social  allowance  cash  transfer  programmes.  This  component 
ambits to target a maximum of 110,000 vulnerable families (approximately 660,000 people).  Finally, with its third component, the 
programme provides crucial funding to avoid the collapse of Palestinian hospitals delivering key medical services to the Palestinian 
population in East Jerusalem and absorb the lion's share of referrals from Gaza. As regards beneficiaries, in 2016, a total of 91,927 
patients benefited from Outside Medical Referrals out of a total caseload of 102,000 individuals in need. 

Also  in  Palestine,  the  EU  continues  to  provide  reliable  support  to  the  United  Nations  Relief  and  Works  Agency  for  Palestine 
Refugees in the Near East (UNRWA). This is a key element of EU's strategy of contributing to the promotion of stability in the 
Middle East and to the viability of the two-state solution, an essential political horizon for Arab/Israeli relations. UNRWA makes a 
crucial contribution to the maintenance of the security, stability and development perspectives in the region. It provides education, 
health care, social services, humanitarian assistance and employment for Palestinian refugees, some of whom have been displaced 
up to three times by this conflict. A concrete example is UNRWA's outstanding work in Gaza, where in spite of the immense daily 
challenges,  and  through  the  dedication  of  its  staff,  UNRWA’s  operations  continue  to  sustain  approximately  1.3  million  refugees 
surviving  a  broken  economy,  political  divide  and  devastated  infrastructure.  In  2017,  the  EU  provided  EUR  107  million  to 
UNRWA. 

In  Egypt, the EU-funded project “Enhancing Access of Children to Education and Fighting Child Labour” implemented by  the 
World Food Programme (WFP) in collaboration with the Government targets 16 of the most vulnerable governorates in Egypt to 
combat child labour. It provides incentives for enrolment and attendance, and enhances access to quality education, especially for 
girls.  Until  now,  through  the  project  114,600  community  school  children  are  receiving  school  snacks,  357,496  of  their  family 
members  -  take-home  rations  (THR)  and  79,896  of  their  family  members  -  cash-based  transfers  (CBT).  The  project  has  also 
supported over 33,000 mothers to start income generating activities, and it has  facilitated access to revolving loans. To help reduce 
dropouts, the project has trained over 7,200 teachers on active learning methodologies to improve their teaching capacities. It also 
physically upgrades selected community schools to create an efficient learning and teaching environment. Additionally, the project 
provides technical support for the enforcement of the legislation and implementation of the National Action Plan (NAP) on child 
labour.  

The  project  has  enabled  an  increase  in  the  annual  enrollment  rate  in  the  targeted  community  schools  by  3%  (for  both  boys  and 
girls), an increase in the attendance rate in the targeted community schools to 90% (for both boys and girls), which is above the 
project  target  of  80%,  and  an  increase  in  the  retention  rate  in  targeted  community  schools  to  95%  ((96%  for  boys  and  95%  for 
girls).  Also,  in  support  to  the  Government's  efforts  in  mitigating  the  negative  impact  of  the  current  Egypt  Economic  Reform 
Programme  (EERP)  linked  to  the  IMF  loan  on  the  most  vulnerable,  up  to  500  000  children  attending  selected  public  primary 
schools in poor governorates will receive daily in-kind incentives (fortified date bars) over a period of up to one and a half school 
years. 

In Morocco, ENI funding was used to improve living standards of the population in the most remote, impoverished regions of the 
country. In 2017 ENI financing (EUR 190 million) allowed to purse support in education and literacy, in gender equality, in social 
protection, in forestry policy and in strategic infrastructure (renewable energy).  

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Through continued support to the Morocco's agricultural development strategy (le "Plan Maroc Vert"), EU programmes contributed 
to  generate  employment  in  the  agricultural  sector  of  the  four  regions  targeted  and  to  provide  farmers  with  processing  facilities 
(slaughterhouse  for  cattle,  mills  for  olive  oil,  laboratories  for  checking  the  sanitary  condition  of  farming  products,  packing  and 
conditioning plants) in order to help them better market their production and improve their families' living standards. Substantial 
progress  was  made  in  2017  and  further  progress  is  expected  in  2018  on  the  modification  of  the  EU-Morocco  Agriculture 
Agreement  in  the  light  of  the  December  2016  judgment  of  the  Court  of  Justice444.  This  progress  paves  the  way  for  a  possible 
relaunch of bilateral relations in the course of 2018. A first step was made on 22 January 2018 with the agreement on Morocco's 
participation in the PRIMA agreement for research and development cooperation. This will involve a joint review of the priorities 
for  the  EU-Morocco  partnership  across  a  wide  range  of  sectors.  On  that  basis  the  intention  is  to  develop  a  Single  Support 
Framework for 2018-2020. 

ENI has contributed to the recovery of stolen assets, a highly political issue symbolic of the restoration of justice and democratic 
accountability. The EUR 2.7 million pilot project implemented by  The United Nations Interregional Crime and Justice Research 
Institute  (UNICRI)  aimed  to  effectively  strengthen  and  pilot  the  initiative  on  asset  recovery  capacity  in  order  to  empower 
governmental authorities and asset recovery practitioners in Egypt, Libya and Tunisia in their fight against corruption and money 
laundering.  

  As a result, around EUR 210,000 were returned by Switzerland to  Tunisia in May 2016. The project also provided technical 

 

and legal advice on the Tunisian draft law on Civil Asset Forfeiture which will facilitate future actions.  
In Egypt, several reconciliation agreements were concluded in late 2016 to recover stolen assets worth EUR 300 million. This 
is a highly positive step for the Government of Egypt and the result of the high level of commitment of Egyptian prosecutors 
(and the Illicit Gains Authority) in ensuring the conclusion of these reconciliation agreements. 

In Libya, due to the political and security crisis, most projects aiming to support the building of independent state institutions had 
to be suspended. Notwithstanding, the EU continued to deliver support to the Libyan citizens by re-orienting relevant projects: in 
the media training of journalist continued and the Libya National Cloud Agency could be set up, providing an independent press 
agency where trained journalist can share their articles for the use of other national and international agencies. In the health sector, 
training of assistant nurses and psycho social assistants was delivered in order to alleviate some of the urgent needs in the seriously 
affected medical sector.  Moreover, thanks to EU support to Civil Initiatives, Civil Society Organisations could continue to meet, 
work and receive training  in  dedicated centres in  four  mayor towns in  Libya throughout the  crisis.   Despite  the Libyan Political 
Agreement of December 2015 the situation remained volatile. EU provided support to 22 democratically elected municipal councils 
to improve service delivery at local level; and 33 municipalities have been selected to receive support to youth resilience initiatives. 

Eastern Neighbourhood 

The  EU  remains  a  major  partner  for  countries  of  the  Eastern  Partnership.  The  Brussels  Summit  on  24  November  2017  has 
reconfirmed the joint commitment to the cooperation within the Eastern Partnership and the importance of strengthening common 
resilience.  It  further  enhanced  in  2016  through  political  dialogue  and  the  implementation  of  projects  aiming  at  progressing  on 
reforms,  cooperation  and  inter-connections.  A  staff  Working  Document    on  "20  Deliverables  for  2020  "for  the  Eastern 
Partnership445  an  ambitious  work  plan  for  the  years  to  come,  as  well  as  a  new  institutional  setup  to  monitor  and  ensure  its 
implementation were adopted with a view to identify twenty concrete deliverables across the four Riga priorities, to be achieved by 
2020. A new Comprehensive and Enhanced Partnership Agreement between the EU and Armenia was signed in the margins of the 
Summit.  The  multilateral  and  bilateral  actions  along  political  frameworks  and  the  four  Riga  priorities  has  progressed.The  new 
multiannual programming documents Single Support Frameworks 2017-2020 for Armenia, Georgia, Moldova, Ukraine as well 
as the Regional East have been adopted, which are aligned with the Riga priorities while taking into account the specific needs of 
each country as identified during the programming process.   

The "20 Deliverables for 2020" will steer the assistance and major programmes, such as e.g. EU4Youth.  

Since the launch of the Eastern Partnership in 2009, the EU has enabled  EUR 1.5 billion of support SMEs in the Eastern partner 
countries, which has contributed to the creation of 10,000 new jobs, over 100,000 loans to enterprises, and 20,000 people trained.  
“EU4Business”  -  an  umbrella  initiative  covering  all  EU  support  for  small  and  medium-sized  enterprises  (SMEs)  in  the  Eastern 
Partnership region - improves both access to finance and the SME environment across the region. With an active portfolio of over 
EUR 260 million of EU support (complementary to other forms of support), EU4Business has supported at least 7000 jobs in the 
region (and targets 144 000 more through blending with The International Financial Institutions (IFI) loans) and more than 57 000 
SMEs (another 50 000 companies will receive further assistance in the years to come).  
A decision on extensing  the TEN-T core network to the eastern Neighbourhood by 2030 was reached in 2016 as a concrete step 
towards  better  connections  and  a  streamlined  approach  to  infrastructure  investments.  This  decision  complements  reforms  in  the 
sector in view of making transport more secure, safer and more environmentally friendly.  
Over 300 municipalities, covering 20 million people in the Eastern partner countries, signed up to the EU’s Covenant of Mayors446. 
This will reduce their CO2 emissions by almost 20 million tonnes by 2020, which is equivalent to planting almost 500 million trees. 

444 Case: C-104/16 P Council v Front Polisario, see Press Release No. 146/16. By judgment of 21 December 2016,2 the Court of Justice, before which an appeal had 
been brought against the judgment on an action brought by the Front Polisario against the Council of the European Union, held that the association agreement and 
the partnership agreement concluded between the EU and Morocco were not applicable to the Western Sahara. 
445 SWD(2016) 467 final 
446 After the European Union climate and energy package was adopted in 2008, the European Commission launched the Covenant of Mayors to endorse and support 
the efforts deployed by local authorities in the implementation of sustainable energy policies. It is part of the world's largest movement for local climate and energy 

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The ENI is contributing to the comprehensive reform programme of Ukraine and stabilisation of its economy with unprecedented 
assistance packages (EUR 965 million in 2014-2017). These packages target:  
- 
- 
- 
- 
- 
- 
- 
- 
- 
- 

economic governance and the fight against corruption;  
small business development;  
decentralisation and local economic development;  
integration in the EU market;  
civil society engagement; 
anti-corruption and rule of law; 
public administration reform; 
energy efficiency; 
public finance management; 
support to the East of Ukraine.  

Evaluations / Studies conducted 

The  ENI  is  part  of  a  coordinated  EU  response  including  EU  macro-financial  assistance  and  loans  from  EU-based  financial 
institutions. 2016 focused on the roll out of the 2015 Neighbourhood Policy Review, with consultations and negotiations on new 
bilateral agreements with the EU and new or revised bilateral political frameworks (partnership priorities and association agendas). 
Some indicators may be adjusted in future to reflect the outcome of these negotiations. 

The  mid-term  evaluation  of  the  ENI  was  carried  out  in  the  framework  of  the  comprehensive  mid-term  review  of  all  external 
financing  instruments.  The  Mid-term  review  report  of  the  External  Financing  Instruments  was  transmitted  by  the  European 
Commission to the European Parliament and the Council on 15 December 2017. Such report included  the results of the ENI mid-
term evaluation, and the subsequent Open Public Consultation and Staff Working Document (https://ec.europa.eu/europeaid/public-
consultation-external-financing-instruments-european-union_en).  The  main  conclusion  of  the  report  is  that  ENI  remains  relevant 
and fit for purpose. 

In  addition  to  the  ENI  mid-term  evaluation,  during  2017  two  thematic  evaluations  have  been  completed,  covering  economic 
governance and SME competitiveness. The evaluation on SME competitiveness concluded that the relevance of EU assistance in 
this  sector  is  high,  overall  there  is  a  satisfactory  efficiency  of  project  implementation  and  the  programmes  are  largely  effective 
despite the inadequate support by national authorities. 

The evaluation on economic governance in the ENI region took into account the much more diverse national contexts due to the 
Arab Spring and conflict areas affecting both ENI South and East. In spite of important processes of political transition, external 
shocks  and  conflicts  in  some  of  the  observed  countries,  the  interventions  reveal  themselves  as  efficient  and  effective.  For  the 
economic governance evaluation the Commission will produce a Staff Working Document during 2018. The final reports of such 
evaluations were presented at the Eco-net meeting, which took place in Brussels in October 2017. 

Forthcoming implementation (2018-2019)  

In all countries, the ENI will continue to support dialogue and reforms based on the fundamental principles of good governance and 
rule of law, respect for human rights, gender equality and civic engagement. In 2018, the ENI will continue to focus on stabilisation 
and resilience in the region.  

The  EU  has  confirmed  its  commitment  to  support  Ukraine  in  its  reform  efforts  through  the  approved  Multi-annual  Indicative 
Programme for 2018-2020, which recognises the stabilisation of the situation in the country and enhances EU support to strengthen 
institutions  and  good  governance,  economic  development,  connectivity,  people-to-people  contacts  and  social  inclusion.  The  EU 
remains committed to the pledge of annual ENI assistance of up to EUR 200 million per year, provided that Ukraine continues to 
progress  in  reforms.  Coordination  of  the  EU,  the  Member  States  and  other  donors  continues  to  be  enhanced.  The  new  Single 
Support Frameworks for 2018-2020 for Azerbaijan and Belarus will support the implementation of the Partnership Priorities (still 
under discussion) and the "20 Deliverables for 2020". 

In 2019, the ENI budget will continue to face considerable pressure based on the political commitments taken to support Tunisia 
(EUR  300  million  per  year)  and  Ukraine  (EUR  200  million  per  year).  Furthermore,  additional  funding  to  support  the  political 
reforms in Georgia and for financing the External Investment Plan (Neighbourhood Investment Platform) in order to deliver on the 
conclusions of the Eastern Partnership Summit will be needed. Finally, funding needs related to the Syria crisis and migratory flows 
in the Southern Mediterranean are expected to continue being considerable.  

III. Programme key facts and performance framework 

1. Financial programming 

Regulation  (EU)  No  232/2014  of  the  European  Parliament  and  of  the  Council  of  11 
March 2014 establishing a European Neighbourhood Instrument 

2014 - 2020 

15 432,6 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

actions, bringing together more than 9,000 local and regional authorities across the EU and beyond that are committed to taking the actions to reach their climate 
and energy objectives 

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2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Of which contribution to Erasmus+ 

57,5 
2 254,7 
2,8 
2 315,0 
103,3 

44,6 
2 338,4 
2,8 
2 385,8 
93,4 

45,4 
2 277,2 
2,4 
2 325,0 
98,0 

47,8 
2 430,5 
2,4 
2 480,7 
104,8 

49,7 
2 314,6 
2,3 
2 366,6 
82,0 

51,1 
2 527,1 
1,9 
2 580,2 
86,5 

48,6 
2 339,6 
2,1 
2 390,3 
90,3 

Total 
Programme 
344,7 
16 482,3 
16,7 
16 843,7 
658,3 

2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
2 480,717 

Impl. Rate 
100,00 % 

PA 
1 403,947 

Impl. Rate 
99,60 % 

CA 
2 366,637 

Impl. Rate 
7,31 % 

PA 
1 708,002 

Impl. Rate 
20,82 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations,  appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

2 378,366 

1 432,541 

2 523,743 

1 732,885 

20,68 % 

98,52 % 

99,61 % 

7,48 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to mainstreaming of climate action 

Relevant objective/output 

Specific objectives 4 and 6 
22 04 01 01 - Mediterranean countries — Human rights and mobility 
22 04 01 02 - Mediterranean countries — Poverty reduction and sustainable development 
22 04 01 04 - Support to the peace process and financial assistance to Palestine and to the United Nations Relief 
and Works Agency for Palestine Refugees (UNRWA) 
22 04 02 01 - Eastern Partnership — Human rights and mobility 
22 04 02 02 - Eastern Partnership — Poverty reduction and sustainable development 
22 04 02 03 - Eastern Partnership — Confidence building, security and the prevention and settlement of conflicts 
22 04 03 01 - Cross-border cooperation (CBC) — Contribution from Heading 4 
22 04 03 03 - Support to other multi-country cooperation in the neighbourhood — Umbrella programme 

Budget 2018 
(EUR million) 
272.85 

DB 2019 
(EUR million) 
309.23 

       2.04  
   142.65  

       2.31  
   161.67  

       4.07  

       4.62  

       2.04  
   106.96  
       1.63  
       5.62  
       7.84  

       2.31  
   121.22  
       1.85  
       6.37  
       8.89  

2014 
185.00 

2014 – 2016 
2015 
267.97 

2017-2018 estimates 

2016 
250.58 

2017 
259.18 

2018 
272.85 

2019-2020 programming 
2020 
2019 
343.92 
309.23 

Total 
2014-2020 
1,888.73 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-2020 
programming period (totals by programme in EUR Million). 
The estimated amount for climate related expenditure for 2014-2017 is based on the analysis of the climate related expenditure under ENI (2014 
and  2015).  Estimates  reflect  the  OECD/DAC  reporting  methodology  for  the  Rio-markers  on  climate  mitigation  and  climate  adaptation.  The 
budget  of  marked  actions  is  weighted  100%  if  climate  mitigation/adaptation  is  marked  as  "principal  objective"  and  40%  if  it  is  marked  as 
"significant objective". 
Estimates for 2017-2020 are based on DG NEAR targets. Rio-markers apply to actions funded in all sectors; however, past trends indicate that 
relevant  actions  tend  to  concentrate  in  the  sectors  of  rural  development,  environment,  energy  and  management  of  natural  resources  –  hereby 
tentatively associated to specific objectives 4 (country-based programmes) and 6 (regional cooperation programmes). As a consequence, budget is 
predominantly from BL "Poverty reduction and sustainable development". 
*2017 final data will be available later during the year and the amount was not updated. 

Contribution to financing biodiversity 

Relevant objective/output 

Budget 2018 
(EUR million) 
42,57 

DB 2019 
(EUR million) 
44,8 

Specific objective 4 and 6 
The amount constitutes around 2% of the ENI operational credits, excluding Erasmus+. 
Estimates reflect the OECD/DAC reporting methodology for the Rio-marker on bio-diversity. The budget of marked actions is weighted 100% if 
bio-diversity  is  marked  as  "principal  objective"  and  40%  if  it  is  marked  as  "significant  objective".  Rio-markers  apply  to  actions  funded  in  all 
sectors;  however,  past  trends  indicate  that  relevant  actions  tend  to  concentrate  in  the  sectors  of  rural  development,  environment,  energy  and 
management of natural resources – hereby tentatively associated to specific objectives 4 (country-based programmes) and 6 (regional cooperation 
programmes). Regarding the 2016-2020 figures, DG NEAR is currently working on defining the most accurate estimations as possible, based on 
strategical choices for DG NEAR's future financial assistance for the rest of the MFF. 

2014 
38,5 

2014 – 2016 
2015 
55,59 

2017-2018 estimates 

2016 
41,41  

2017 
40,44  

2018 
42,57 

2019-2020 programming 
2020 
2019 
46,5 
44,8 

Total 
2014-2020 
309,81 

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Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-2020 
programming period (totals by programme in EUR Million). 
*2017 final data will be available later during 2018 and the amount was not updated. 

Gender mainstreaming 
DG  NEAR  is  committed  to  the  implementation  of  EU  Gender  Action  Plan  II,  2016-2020  (GAP  II),  as  well  as  the  promotion  of 
gender equality and women's empowerment in international fora and agendas. The GAP was endorsed on October 26, 2015 by the 
Council  which confirmed in  its  Conclusions  that gender equality is at the core of European  values and enshrined  within the EU 
legal and political framework.  

In 2015, gender commitments represented the 21.5 % (524 million out of 2430) and in 2016 this percentage reached the 26% (586 
million out of 2252) of the ENI operational credits.    

Data reflect the OECD/DAC reporting methodology. The budget of marked actions is weighted 100% if gender equality is marked 
as "principal objective" and 40% if it is marked as "significant objective". Gender markers apply to actions funded in all sectors 
respectively specific objectives. 2017 final data will be available later during 2018 and the amount was not updated. 

4. Performance information 

General objectives 

General  Objective  1: Establishing  an  area  of  shared  prosperity  and  good  neighbourliness  involving  the  Union  and  the  partner 
countries  by  developing  a  special  relationship  founded  on  cooperation,  peace  and  security,  mutual  accountability  and  shared 
commitment to universal values of democracy, the rule of law and respect for human rights in accordance with the Treaty on EU. 
Indicator  1: Number  of  comprehensive  agreements  and  individual  ENP  Action  Plans  in  place  with  interested  neighbouring 
countries 

Baseline 
2012 

Neighbourhood East: 
Five Partnership and 
Cooperation Agreements 
in force, one Association 
Agreement (Ukraine) 
initialled on 30.03.2012 
Negotiations for 
Association Agreements 
ongoing with 4 countries: 
Republic of Moldova 
(launched in January 
2010), Armenia, 
Azerbaijan & Georgia 
(July 2010). 
Action Plans with 
Georgia, 
Moldova/Association 
Agenda with Ukraine in 
force. 
Eleven ENPI CBC 
Programmes. 

Baseline 
2012 

Neighbourhood South: 
Association agreements in 
force with 8 of the 10 
southern partners (i.e. 
excluding Libya and 
Syria). 
Three First generation 
Action Plans (or 
equivalent documents) 
adopted or in place: Israel, 
Egypt and Palestine 
Second generation action 
plans for Jordan and 
Morocco approved. 
Political agreement on the 
second generation of the 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 

3 Association 
Agreements 
signed (Ukraine, 
Georgia and 
Moldova). 
Association 
Agendas 
(Ukraine, 
Georgia, 
Moldova) 

Negotiation on a 
new agreement 
launched with 
Armenia 

Negotiation on a new 
agreement launched 
with Azerbaijan. 
Negotiations of 
Partnership Priorities 
launched with 
Azerbaijan and 
Belarus 

Comprehensive and 
Enhanced Partnership 
Agreement signed 
with Armenia 
Association Agendas 
updated with  
Georgia, Moldova; 
Partnership Priorities 
agreed with Armenia 

Association 
Agenda 
updated 
with 
Ukraine 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

16 Association or 
similarly 
comprehensive 
Agreements in force 
and 16 Action Plans 
or similar documents 
adopted by 2020. 

NB: This level of 
target comes from the 
objectives of 
European 
Neighbourhood 
Policy and takes into 
account the 16 
Neighbourhood 
countries (10 in the 
South and 6 in the 
East). 

Target 2020 

New EU-Egypt 
Action Plan in place 
(to be started in 2015) 

Decision taken on 
down-grading/ 
updating/ upgrading 
the Action Plan with 
IL (suspended since 
2009) 

The Deep and 
Comprehensive Free 
Trade Area (DCFTA) 
with Morocco and 
Tunisia will have 
been concluded and 
possibly ratified. 

Resumption of 
negotiations on the 
EU Libya Framework 

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Agreement. 

Actual results 

ENP action plans 
adopted with 
Algeria, Jordan, 
Lebanon, 
Morocco, 
Palestine and 
Tunisia. 

Pursuit of 
negotiations on 
the EU-Algeria 
ENP Action Plan 
* 

ENP action plans 
adopted with 
Algeria, Jordan, 
Lebanon, Morocco, 
Palestine and 
Tunisia. 

Pursuit of 
negotiations on the 
EU-Algeria ENP 
Action Plan 
* 

Following the review 
of the ENP the EU 
started a new phase of 
engagement with 
partners.   Partnership 
Priorities have been 
adopted with 
Lebanon, Jordan, 
Algeria and agreed 
with Egypt. (**) 

Partnership Priorities 
adopted for Algeria 
(2017), Egypt (2017), 
Jordan (2016), 
Lebanon (2016). 
Preliminary 
discussions on future 
EU-IL and EU-PAL 
Partnership Priorities 
have been initiated. 
SSF adopted in Egypt 
(2017), Jordan (2017), 
Lebanon (2017), 
Tunisia (2017). 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Tunisia and Lebanon 
Action Plans but formal 
adoption by Council 
pending. 
Since 2012 negotiations 
with Algeria on an ENP 
action plan. 
Comment: 
Libya: 
Discussions 
ongoing  on  possibility  to 
re-start  negotiations  for  a 
Framework  Agreement. 
Ratification 
of 
Association  Agreement 
with Syria suspended. 

Baseline 
2012 

2 ENPI CBC Programmes 

Target 2020 

CBC: 900 projects 
implemented by ENI 
CBC programmes (there 
are 950 projects 
financed under the 
current ENPI CBC) 

* Libya: Discussions on the negotiations for a Framework Agreement are stalled due to the crisis situation since June 2014 
** Preliminary discussions on future EU-IL and EU-PAL Partnership Priorities have been initiated. The UE has adopted Compacts with Jordan 
and Lebanon. The second phase of the ENI programming (2017-2020) was launched and Single Support Frameworks  for 2017-2020 are being 
finalised with the Governments of Lebanon, Palestine, Egypt, Jordan and Tunisia.  Palestine has materialised the Joint Programming process in 
the  first-ever  European  Joint  Strategy  in  the  Neighbourhood  that  will  cover  2017-2020.    With  Morocco,  the  EU  has  deployed  every  effort  in 
maintaining a constructive relationship throughout the year in the area of technical and financial cooperation, amid a tense atmosphere pertaining 
to  the  ECJ  ruling  on  the  agreement  on  the  free  trade  of  agricultural  products.  In  Libya  the  EU  focused  on  reactivating  initiatives  in  order  to 
support the Government of National Accord and to contribute to improving the living conditions of Libyans and migrants stranded there. A policy 
dialogue on cooperation issues was established in 2016 in order to better define the needs and possibilities to expand our assistance. 
Indicator 2: GDP per capita as % of EU 28 (current prices)* (source: World Bank) 

Baseline 
Period 2008-2011 
2010  
Neighbourhood East(NE): 
10.86% 
Neighbourhood 
South(NS): 14.76% 

Milestones foreseen 

2014 

2015 

2016 

2017 
NE: increase 
NE : increase 

NE: 11.94% 
NS: 14.58%* 

9.94 
11.35** 

NE 8.86% 
NS 15.18*** 

Actual results 

2018 

2019 

Target 2020 

NE:  increase 
NS: increase 

The indicator shows the degree of economic convergence of Neighbourhood countries towards the European average. The projections are based 
on a hypothesis of growth rate of 1.9% for the EU area and 3.5% for both Neighbourhood South and Neighbourhood East. 
* The value does not include Libya, Lebanon and Syria, for which data are not available 
** The value only includes Algeria, Morocco, Jordan and Palestine, for which data on GDP are available.  
*** The value only excludes Syria. 

Specific objectives 

Specific Objective 1: Promoting human rights and fundamental freedoms, the rule of law, principles of equality and fight against 
discrimination in all its forms, establishing deep and sustainable democracy, promoting good governance, fight against corruption, 
strengthening institutional capacity at all levels and developing a thriving civil society including social partners. 
Indicator 1: Progress made in achieving political reforms, as assessed by relevant reports 

Baseline 

Milestones foreseen 

Eastern Partnership 
countries 

Baseline 

Southern Partnership 
countries 

2014 

2015 

2016 

2017 
Some Progress 

2018 

2019 

Some Progress  Some Progress  Some Progress*  Some Progress* 

Milestones foreseen 

Actual results 

2014 

2015 

2016 

2017 
Some Progress 

2018 

2019 

Some Progress  Some Progress  Some Progress*  Some Progress* 

Actual results 

Target 2020 

Further progress 

Target 2020 

Further progress 

The  indicator  assesses  how  the  ENP  partner  countries  progress  in  implementing  the  political  reforms  agreed  in  bilateral  legal  (for  example: 
Partnership  and  Cooperation  Agreements,  Association  Agreements)  and  political  (for  example:  ENP  Action  Plans,  Association  Agendas) 
frameworks. The target is coherent with 2014-2020 programming period and is based on the past trend, the baseline value and the benchmarks. 
*Following the ENP Review of 2015 the annual progress reports have been replaced by a new style of assessment, timed to provide the basis for a 
political exchange of views in the relevant high-level meetings with partner countries.  

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Indicator 2: Weighted score based on eight external sources (Corruption Perception (Transparency International), Press Freedom 
(Reporters without Borders), Freedom of Press (Freedom House), Government Effectiveness (World Bank), Control of Corruption 
(World Bank), Rule of Law (World Bank), Voice and Accountability (World Bank) and Regulatory Quality (World Bank)) 

Baseline 
2010 

2014 

2015 

2016 

2017 
> 42 

2018 

2019 

Milestones foreseen 

East and South: 38 

Actual results 

40.70 

40.06 

39.65 

Data n.a.  

Target 2020 

> 44 

The indicator is a weighted score based on 8 external sources taken in three groups, each weighted one third after normalisation: 1. Corruption 
Index (Transparency International) and Control of Corruption (World Bank); 2. Press Freedom (Reporters without Borders) and Freedom of Press 
(Freedom  House);  3.  Government  Effectiveness  (World  Bank),  Rule  of  Law  (World  Bank),  Regulatory  Quality  (World  Bank)  and  Voice  and 
Accountability (World Bank). Values: 1 (Worst) - 100 (Best); EU benchmark: 76.99. 
Source:  Corruption Index (Transparency International) - http://www.transparency.org/country 
Control of Corruption (World Bank ) - http://web.worldbank.org 
Press Freedom (Reporters without Borders ) – https://rsf.org/index2014 
Freedom of Press (Freedom House ) - http://www.freedomhouse.org/ 
Government Effectiveness (World Bank ) - http://web.worldbank.org 
Rule of Law (World Bank ) - http://web.worldbank.org 
Regulatory Quality (World Bank ) - http://web.worldbank.org 
Voice and Accountability (World Bank ) - http://web.worldbank.org 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

1a. Measures supporting rule of law and good governance - South 

22 04 01 01 
22 04 01 04 
1b. Measures supporting rule of law and good governance -East 
22 04 02 01 
2a. Measures supporting civil society and promotion of human rights and fundamental freedoms - South  22 04 01 01 
22 04 02 01 
2b. Measures supporting civil society and promotion of human rights and fundamental freedoms - East 
3. Countries benefiting from umbrella programme* 
22 04 03 03 
Total 
* In line with the ENI Regulation, the total funding for the umbrella programmes is set in the range of 10% of the operational budget. Additional 
funding granted through this mechanism will be used in line with the co-operation priorities of each beneficiary country.  

87 
0 
177 
25 
20 
215 
524 

5 
0 
3 
3 
3 
6 
20 

Outputs 

1a.  Measures  supporting  rule  of  law  and  good 
governance - South 
1b.  Measures  supporting  rule  of  law  and  good 
governance -East 
2a.  Measures  supporting  civil  society  and 
promotion  of  human  rights  and  fundamental 
freedoms – South 
2b.  Measures  supporting  civil  society  and 
promotion  of  human  rights  and  fundamental 
freedoms - East 
3.  Countries 
programme 

benefiting 

umbrella 

from 

2014 
3 
6 
3 
4 
2 

3 

5 

5 

6 
7 

F 
P 
F 
P 
F 

P 

F 

P 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
7 
6 
6 
6 
2 

2016 
4 
6 
5 
6 
3 

2018 
6 

2015 
4 
6 
4 
6 
8 

4 

3 

3 

3 

2019 
5 

4 

6 

4 

6 
4 

4 

3 

4 

6 
4 

4 

3 

4 

6 
5 

3 

6 

3 

6 

2020 
7 

3 

3 

3 

6 

Specific  Objective  2: Achieving  progressive  integration  into  the  Union  internal  market  and  enhanced  sector  and  cross-sectoral 
cooperation including through legislative approximation and regulatory convergence towards Union and other relevant international 
standards and improved market access including through deep and comprehensive free trade areas, related institution building  and 
investments, notably in interconnections. 
Indicator 1: Value of ENI countries export to EU-28 in relation to baseline data in year 2010 (Eurostat figures). 

Baseline 
2010 (EU-27 

Neighbourhood East: 
37.02% 
Neighbourhood South: 
24.9%. 

Milestones foreseen 

2014 

2015 

2016 

2017 
East: 36.45%. 
South: 26.13%. 

Actual results 

East: 36.82% 
South: 24.4% 

East: 37.80* 
South (data 
available only for 
two countries 

East: 37.18% 
South: 
20.00%** 

Data not yet 
available 

2018 

2019 

Target 2020 

East: 
35.90%. 
South: 
27.97% 

The indicator expresses the level of integration of the economies into the world economy. 
* The targets are based on a hypothesis of GDP growth of 3.5% for the two regions and of 2.97% for the exports of the Neighbourhood East and 
5.88%  for  the  Neighbourhood South.  For  this  second  region  the baseline  is  calculated on  the  volume  of  exports  and  GDP  of  the  countries  for 

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which both exports and GDP data were available for 2014 (Algeria, Israel, Jordan and Palestine. To be noted that many factors will impact this 
indicator, in particular EU economic growth, unfolding crisis situations in the region and data availability. 
*: the value does not reflect Ukraine and Azerbaijan, for which export values are not available for 2015 
**: Only Syria excluded. Declining ratio reflects substantial reduction of values of exports of hydrocarbons for Algeria (due to price decline) and 
Libya (also due to the political instability). 
Indicator 2: Number of Deep and Comprehensive Free Trade Agreements (DCFTA) and Agreements on Conformity Assessment 
and Acceptance of industrial products (ACAA) 

Baseline 

2014 

2015 

Neighbourhood 
East: 
0 signed (DCFTA) 
0 (ACAA); 
4 DCFTA and 
0 ACAA under 
negotiation 

3 AA/DCFTA’s signed 
(June 2014) – of which 2 
(Georgia and Moldova) 
provisionally applied in 
parts as of 1/9/2014 and 
AA with Ukraine 
provisionally applied in 
parts as 01/11/2014 

Baseline 

2014 

2015 

Milestones foreseen 
2016 
3 DCFTA in place 

Actual results 

2017 

2018 

2019 

Target 2020 

Entry inti force of Georgia 
and Moldova Association 
Agreements 1 July 
2016.Provisional 
application of EU-Ukraine 
DCFTA as of 1st January 
2016 

Entry into 
force of the 
EU-Ukraine 
AA/DCFTA 1 
September 
2017 

DCFTA in place with 
all interested ENI 
countries 

2017 

2018 

2019 

Target 2020 

Milestones foreseen 
2016 
2 DCFTA in place and 2 in 
negotiations; 
1 ACAA in place and 4 in 
negotiations; 
2 Agreements on 
liberalisation of trade in 
agriculture in place; 
1 Agreement on Air 
Transport in place; 
2MoUon Energy in place 

Actual results 

Neighbourhood 
South: 
0 DCFTA; 
1 ACAA; 
0 Agreements on 
liberalisation of 
trade in 
agriculture; 
0 Agreements on 
Air Transport; 
1MoUon Energy 

1 DCFTA in negotiations 
and 2 under preparation; 1 
ACAA in place and 1 
being prepared and 
negotiated; 4 Agreements 
on liberalisation of trade in 
agriculture in place ; 3 
Agreements on Air 
Transport in place and 2 
under negotiations; 1 MoU 
on Energy 

1 DCFTA in negotiations 
and 2 under preparation; 
1 ACAA in place and 1 
being prepared and 
negotiated; 4 
Agreements on 
liberalisation of trade in 
agriculture in place ; 3 
Agreements on Air 
Transport in place and 2 
under negotiations; 1 
MoU on Energy 

2 DCFTA in 
negotiations (Morocco 
and Tunisia) and 2 under 
preparation (Egypt and 
Jordan) 

2 DCFTA in 
negotiations 
(Morocco and 
Tunisia) and 2 
under 
preparation 
(Egypt and 
Jordan) 

Expenditure related outputs 

Outputs 

2a. Measures supporting the Association Agreements , approximation and institution building – South 
2b. Measures supporting the Association Agreements, approximation and institution building - East 

3. TAIEX and SIGMA – South & East 

Total 

Outputs 

1. Measures supporting the Advanced Status - South 

2a.  Measures  supporting  the  Association  Agreements  , 
approximation and institution building – South 
2b.  Measures  supporting  the  Association  Agreements, 
approximation and institution building - East 

3. TAIEX and SIGMA – South & East 

2014 
1 
1 
5 
2 
5 
3 
2 
3 

F 
P 
F 
P 
F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2019 
0 

2018 
1 

2015 
1 
0 
7 
3 
4 
4 
2 
2 

2016 
0 
0 
5 
3 
3 
4 
2 
2 

2017 
0 
0 
2 
2 
5 
4 
2 
2 

3 

4 

4 

3 

4 

2 

Specific Objective 3: Creating conditions for the better organisation of legal migration and the fostering of well managed mobility 
of people, for the implementation of existing or future agreements concluded in line with the Global Approach to Migration and 
Mobility, and for promotion of people-to-people contacts, in particular in relation to cultural, educational, professional and sporting 
activities. 

434/555 

4 DCFTA in place; 
5 ACAA in place; 
2 Agreements on 
liberalisation of trade 
in agriculture in 
place; 
1 Agreement on Air 
Transport in place; 
2MoUon Energy in 
place 

Draft Budget 2019 
Number  EUR million 

6,97 
81,8 
3,3 
3,7 
95,75 

2020 
0 

3 

4 

2 

Budget line 

22 04 01 02 
22 04 02 02 
22 04 01 02 
22 04 02 02 

3 
4 

2 

9 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

DB2019 

Indicator 1: Number of Mobility Partnerships in place 

Baseline 
2012 

2014 

2015 

Milestones foreseen 

2016 
1 under 
negotiation 

Actual results 

2017 

2018 

2019 

Target 2020 

Neighbourhood East: 
3 Mobility Partnerships in 
place and none under 
negotiation. 

Baseline 
2012 
Neighbourhood South: 
Mobility Partnership 
signed with one country in 
2013. Preparatory 
discussions launched with 
two countries. 

4 Mobility 
Partnerships in 
place (Georgia, 
Moldova, 
Armenia, 
Azerbaijan) 

4 Mobility 
Partnerships in 
place; 
negotiation with 
Belarus started in 
2015 

4 Mobility 
Partnerships in 
place; 
negotiation with 
Belarus started in 
2015 

5 Mobility Partnerships 
in place; 
negotiation with 
Belarus concluded in 
2016. 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Actual results 

3 Mobility 
Partnerships in 
place (of which 2 
signed in 2014) 

3 Mobility 
Partnerships in 
place (of which 2 
signed in 2014) 

3 Mobility 
Partnerships in 
place (Morocco, 
Tunisia, Jordan) 

3 Mobility Partnerships 
in place (Morocco, 
Tunisia, Jordan) 

4 Mobility 
Partnerships in place 

Target 2020 

4 Mobility 
Partnerships in place 

Source: European Commission (information from DG Home). Mobility Partnerships (MP) declarations are the instrument through which the EU 
and its partners in the Neighbourhood intend to set a framework to manage migration flows with commonly agreed objectives and programmes. 
MP's follow the Global Approach to Migration and Mobility guidelines. Thus, they are a good measure of the achievements in this field. 

Indicator 2: Number of readmission/visa facilitation agreements and Visa Liberalisation Action Plans (VLAP) in place 

Baseline 
2008 

2014 

2015 

Milestones foreseen 

2016 
3 readmission/ 
visa facilitation 
agreements in 
place 

Actual results 

2017 

2018 

2019 

Target 2020 

Neighbourhood East: 
1 readmission/visa 
facilitation agreements 
in place and 2 under 
negotiation; 
2 VLAP in place 

Visa Facilitation 
Agreements and 
Readmission 
Agreements  with 5 
countries (Armenia 
and Azerbaijan 
entered into force in 
2014); negotiations 
with Belarus started 
in 2014; 1 VLAP 
completed (visa-
free regime granted 
to Moldova as of 
28-4-2014); 2 
VLAP ongoing 

Visa Facilitation 
Agreements and 
Readmission 
Agreements with 
5 countries; 
negotiation with 1 
country; 1 visa-
free regime 
(Moldova); 2 
VLAP completed 
(Georgia and 
Ukraine) 

Visa Facilitation 
Agreements and 
Readmission 
Agreements with 5 
countries; 
negotiationBelarus; 1 
visa-free regime 
(Moldova,); 1 VLAP 
completed (Ukraine, 
Georgia); preliminary 
discussions on visa 
liberalisation started 
with Armenia 

Visa liberalisation 
for Georgian 
citizens with 
biometric 
passports for short 
stays entered into 
force 28 March 
2017; Visa-
liberalisation for 
Ukrainian citizens 
with biometric 
passports for short 
stays entered into 
force 11 June 
2017. 

4 VLAPs 

Baseline 

2014 

2015 

Neighbourhood South: 
No agreements/VLAP in 
place 

No readmission/visa 
facilitation 
agreements in place 

No 
readmission/visa 
facilitation 
agreements in 
place 

Milestones foreseen 

2016 
2 readmission/visa 
facilitation 
agreements in place 
Actual results 

No readmission/visa 
facilitation 
agreements in place 

2017 

2018 

2019 

Target 2020 

No 
readmission/visa 
facilitation 
agreements in 
place 

5 readmission/visa 
facilitation 
agreements in place 

Source: European Commission (information from DG Home). Based on visa facilitation/ liberalisation agreements, both the EU and the non-EU 
citizens  benefit  from  facilitated  procedures  for  issuing  visas.  Visa  facilitation/liberalisation  agreements  are  linked  to  readmission  agreements 
which establish the procedures for the return to the EU or to the partner non-EU country of persons (own or third country nationals or stateless 
persons) in irregular situation. Readmission and visa facilitation/liberalisation agreements are key elements to assess progress regarding mobility 
and the promotion of people to people contacts.   
Expenditure related outputs 

Outputs 

1a. Measures supporting mobility and border management - South 
1b. Measures supporting mobility and border management - East 
2. Erasmus + South & East (excluding administrative credits) 
Total 

Budget line 

22 04 01 01 
22 04 02 01 
22 04 20 

Draft Budget 2019 

Number 
1 
1 
1 
3 

EUR million 
1 
17 
84,5 
103 

435/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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DB2019 

Outputs 

1a.  Measures  supporting  mobility  and  border 
management - South 
1b.  Measures  supporting  mobility  and  border 
management - East 
2.  Erasmus  +  South  &  East 
administrative credits) 

(excluding 

F 
P 
F 
P 
F 
P 

2014 
0 
2 
1 
0 

1 

2018 
2 

Number of outputs foreseen (F) and produced (P) 
2017 
0 
0 
1 
1 
1 
1 

2016 
1 
0 
0 
1 

2015 
1 
0 
2 
1 
1 
1 

2 

1 

1 

1 

1 

2019 
1 

2020 
1 

1 

1 

Specific Objective 4: Supporting smart, sustainable and inclusive development in all aspects; poverty reduction, including through 
private-sector development and reduction of social exclusion; promotion of capacity building in science, education and in particular 
higher  education,  technology,  research  and  innovation;  promotion  of  internal  economic,  social  and  territorial  cohesion;  rural 
development; public health; environmental protection, climate action and disaster resilience. 
Indicator 1: Inequality-Adjusted Human Development Index (source: UNDP) 

2017 

2018 

2019 

Target 2020 

Baseline 
2011 
Neighbourhood East:  
4 countries with indicator 
equal or above 0.700 on 
the scale of 1 (between 
high and very high human 
development). 
Baseline 
2011 
Neighbourhood South:  
3 country with indicator 
equal or above 0.700 on 
the scale of 1 (between 
high and very high human 
development).  

2014 

2015 

Milestones foreseen 
2016 
6 countries equal or 
above 0.700 

Actual results 

5 

6 

Not longer 
available* 

Not longer 
available* 

2014 

2015 

Milestones foreseen 
2016 
8 countries equal or 
above 0.700 

Actual results 

6 

8 

Not longer 
available* 

Not longer 
available* 

2017 

2018 

2019 

Target 2020 

6 countries equal or 
above 0.700 

9 countries equal or 
above 0.700 

The Inequality-Adjusted Human Development Index takes into account not only the average achievements of a country on health, education and 
income, but also how those achievements are distributed among its population. In this sense, the inclusiveness of development can be measured. 
*The last Report has been published in 2016, with data referred to 2015. 

Indicator 2: Ease of doing business index (1=most business-friendly regulations) (source: World Bank) 

Baseline 
2012 

Neighbourhood East – 
64.42 
Neighbourhood South – 
57.26 

Milestones foreseen 

2014 

2015 

2016 

2017 
East – 73 
South - 56 

East: 69.92 
South: 54.07 

East: 70.50 
South – 54.21 

East: 71.68 
South: 54.84 

East: 73.09 
South: 55.45 

Actual results 

2018 

2019 

Target 2020 

East – 78 
South – 59 

The sustainability of development highly depends on the capacity of our countries to facilitate the creation of a productive base, i.e. the creation of 
local business that can ignite a virtuous circle of economic growth on a sustainable basis. The distance to frontier measures the distance from the 
best performing country based on the different criteria used. Indicator aligned with the one used for the EU Results Framework 

Expenditure related outputs 

Outputs 

1a. Measures supporting employment, education and training - South 
1b. Measures supporting employment, education and training - East 
2a. Measure supporting territorial and social cohesion, social protection and rural development - South 
2b. Measure supporting territorial and social cohesion, social protection and rural development - East 

3a. Measures supporting inclusive economic development (including NIP) - South 

3b. Measures supporting inclusive economic development (including NIP) - East 
4a. Measures contributing to reforms in the  fields of  environment, energy and  management of natural 
resources - South 
4b. Measures contributing to reforms in the fields of environment, energy and management of natural 
resources - East 
Total 

Budget line 

22 04 01 02 
22 04 02 02 
22 04 01 02 
22 04 02 02 
22 04 01 02 
22 04 01 04 
22 04 02 02 
22 04 01 02 
22 04 01 04 

22 04 02 02 

Draft Budget 2019 
Number  EUR million 

4 
2 
4 
2 

8 

3 

4 

1 

162,7 
20,5 
5,1 
43,9 
319,3 
10,0 
143,3 
91,5 
0 

3,3 

28 

799,65 

Outputs 

1a. Measures supporting employment, education 
and training - South 

F 
P 

2014 
4 
4 

Number of outputs foreseen (F) and produced (P) 
2017 
3 
3 

2016 
3 
2 

2018 
3 

2015 
2 
2 

2019 
4 

2020 
2 

436/555 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
P r o g r a m m e   S t a t e m e n t s  

Outputs 

and 

and 

social 

protection 

protection 

1b. Measures supporting employment, education 
and training - East 
2a.  Measure  supporting  territorial  and  social 
rural 
cohesion, 
development - South 
2b.  Measure  supporting  territorial  and  social 
cohesion, 
rural 
social 
development - East 
3a.  Measures  supporting  inclusive  economic 
development (including NIP) - South 
3b.  Measures  supporting  inclusive  economic 
development (including NIP) - East 
4a.  Measures  contributing  to  reforms  in  the 
fields  of  environment,  energy  and  management 
of natural resources - South 
4b.  Measures  contributing  to  reforms  in  the 
fields  of  environment,  energy  and  management 
of natural resources - East 

2014 
2 
3 
5 

4 

2 

1 

8 
10 
2 
4 
3 

2 

0 

0 

F 
P 
F 

P 

F 

P 

F 
P 
F 
P 
F 

P 

F 

P 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
1 

2016 
0 
1 
4 

2018 
2 

2015 
0 
1 
3 

3 

4 

2019 
2 

3 

1 

2 

6 
14 
2 
4 
3 

4 

2 

1 

3 

2 

2 

5 
14 
3 
4 
4 

4 

1 

1 

1 

2 

2 

7 
6 
2 
2 
3 

3 

0 

0 

2 

8 

3 

3 

1 

2 

8 

3 

4 

1 

DB2019 

2020 
2 

3 

2 

7 

3 

3 

1 

Specific Objective 5: Promoting confidence building, good neighbourly relations and other measures contributing to security in all 
forms and the prevention and settlement of conflicts, including protracted conflicts. 
Indicator 1: Political stability and absence of violence: number of countries in a percentile rank above 0-10 (lowest rank) * 

2017 

2018 

2019 

Target 2020 

Baseline 
2011 
Neighbourhood East:  
4 countries in a percentile 
rank above 0-30 (Armenia, 
Belarus, Moldova, 
Ukraine). 
Neighbourhood South: 
 7 countries in a percentile 
rank above 0-10 (Jordan, 
Morocco, Tunisia, Libya, 
Egypt, Israel) 

2014 

2015 

Milestones foreseen 

2016 
East: 5 countries 
South: 8 countries (6 
+ Algeria, Lebanon) 
Actual results 

East: 4 
South: 5 

East: 4 
South: 5 

East: 3 
South: 4 

Data not yet 
available 

East: 6 countries 
South: 9 countries 
(8+ Syria) 

*This indicator measures perceptions of the likelihood that the government will be destabilized or overthrown by unconstitutional or violent 
means, including politically-motivated violence and terrorism. Higher values in percentile rank indicate better governance ratings.Source: 
Worldwide Governance Indicators (WGI) project (WB group). 

Expenditure related outputs 

Outputs 

1a. Measures supporting confidence building and settlement of conflicts (including support to refugees) - 
South 
1b. Measures supporting confidence building and settlement of conflicts (including support to refugees) - 
East 
2. Measures supporting Palestine 
Total 

Budget line 

22 04 01 03 

22 04 02 03 

22 04 01 04 

4 

1 

3 
8 

Draft Budget 2019 
Number  EUR million 

Outputs 

1a.  Measures  supporting  confidence  building 
and settlement of conflicts (including support to 
refugees) - South 
1b.  Measures  supporting  confidence  building 
and settlement of conflicts (including support to 
refugees) - East 

2. Measures supporting Palestine 

F 

P 

F 

P 

F 
P 

2014 
3 

12 

1 

2 

10 
7 

Number of outputs foreseen (F) and produced (P) 
2017 
3 

2016 
4 

2018 
7 

2015 
2 

2019 
4 

1 

2 

2 

3 
4 

1 

1 

2 

3 
4 

3 

1 

1 

3 
3 

1 

3 

1 

3 

373.4 

12,2 

308,8 
694.4 

2020 
4 

1 

3 

Specific  Objective  6: Enhancing  sub-regional,  regional  and  Neighbourhood  wide  collaboration  as  well  as  Cross-Border 
Cooperation. 
Indicator 1: Number of Cross-Border Cooperation programmes in place 

Baseline 
2012 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

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13 ENPI CBC programmes 
adopted and implemented 

All ENI CBC 
programmes (17) 
are adopted. 

Actual results 

Data n.a.  

13 

16 

16 

All 17 programmes 
foreseen in the CBC 
Programming Document 
are fully under 
implementation and all 
available funds are 
committed 

The indicator shows the progress in building cooperation among EU Member States on one side and Neighbourhood partner countries and the 
Russian Federation on the other side, in border regions.  
Relevance of the indicator: Given that these CBC cooperation programmes are agreed among the EU member States and the partner countries, the 
adoption and implementation of the programme is a good indicator of the willingness of all parties to cooperate in the border regions. Each CBC 
programme contains a multiplicity of smaller projects benefiting the socio-economic development of the area's population. 
Source: based on the number of programmes identified in the CBC Programming Document. 
Indicator 2: Number of ministerial, platform and panel meetings under the Eastern Partnership 

Baseline 
2014 

2014 

2015 

Between 70 and 80 policy 
dialogue events were 
organised 

Between 70 and 
80 policy 
dialogue events 
were organised 

No data available 

Indicator 3: Progress on Eastern Partnership priorities 

Milestones foreseen 

2016 
80 
Actual results 

2017 
85 

Around 80 policy 
dialogue events 
were organised 

Around 85 
policy dialogue 
events were 
organised 

Baseline 
2013 

2014 

2015 

Establishment of the main 
priority areas at the Riga 
Summit in 2015 (i.e. (1) 
strengthening institutions 
and good governance; (2) 
increasing mobility and 
people to people contacts; 
(3) market opportunities; 
(4) interconnections.) 

2017 

Milestones foreseen 
2016 
Strategic progress mainly 
in the areas of:  
1) Interconnections: 
Approval of the 
extension of the core 
TEN-T network at 
ministerial level. 
Endorsement of the 
single project pipeline by 
the EaP countries, IFIs 
and the EU. 
2) Market opportunities: 
Development of the three 
DCFTAs (i.e. Ukraine, 
Georgia, Moldova) and 
assistance provided 

76 

n.a. 

n.a 

Actual results 

2018 
85 

2019 

Target 2020 

90 policy dialogue 
events organised 

2018 

2019 

Target 2020 

85 

Significant progress 
in the four priority 
areas established at 
the Riga Summit in 
2015 

Indicator  4: Increased  credibility  of  the  Union  for  the  Mediterranean  (UfM)  through  a  high  number  of  ministerial  meetings 
establishing regional sector priorities and through the engagement of regional cooperation, finance and planning ministers via the 
holding of UFM ministerial conferences on regional cooperation and planning 
Milestones foreseen 
2016 
Three ministerials foreseen in 2016 
establishing regional sector priorities. 
UfM Ministerial on Regional 
Cooperation and Planning successfully 
organised 

Baseline 
2014 
Three ministerials 
establishing regional sector 
priorities 

Three ministerials per 
year (15 in total) 

2018  2019 

Target 2020 

2014 

2015 

2017 

Ministries of Finance, 
Planning and International 
Cooperation relatively un-
engaged in regional 
cooperation. 
No cooperation ministerial 
ever held 

Actual results 

No data 
available 

Three UfM ministerial meetings 
organised in the field of cooperation 
and planning; energy; labour and 
employment took place in 2016. 

Four (Youth; Water; 
Sustainable urban 
development; Women' s 
Empowerment) 

A regular process of 
coordination around 
financing of regional 
integration is 
operational 

Indicator 5: Progress on specific regional objectives defined in ministerial declarations under the Union for the Mediterranean 

Baseline 

2014 

2015 

Milestones foreseen 
2016 

2017  2018 

2019 

Target 2020 

76 

No data 
available 

Actual results 
A Ministerial UfM meeting on energy in 
December 2016 contributed to reinforcing energy 
security and connectivity and adopted the work 
programme of the energy platforms (Regional 
Electricity Market, Renewable Energy and 
Energy Efficiency, Gas).  

Tangible progress in the 
key elements for regional 
integration and 
cooperation identified in 
the Ministerial 
Declarations, 
Such as: 

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Regulatory convergence progressed in particular 
under the electricity market platform, has paved 
the way to further market integration and 
investments opportunities. 

Expenditure related outputs 

Outputs 

CBC programmes,  including European Regional Development Fund – European 
Territorial Cooperation – Contribution from Heading 4 

Measures enhancing  regional co-operation in the southern Neighbourhood 

Measures enhancing regional co-operation among Eastern Partnership countries 

Budget line 

22 04 03 01 
13 03 64 03 
22 04 01 01 
22 04 01 02 
22 04 01 03 
22 04 03 04 
22 04 02 01 
22 04 02 02 
22 04 03 04 

 - Regional transport 
network identified 
- Progress in depolluting 
Mediterranean 
- Electricity connections 
between countries 
enhanced 

Draft Budget 2019 

Number 

EUR million 

17 

93,2 

2 
4 
2 
2 
3 
5 
2 
37 

12,4 
40,2 
41,9 
16,3 
28,3 
74,5 
12,2 
319 

Total 
Under specific objective 6 it is envisaged that regional programmes will continue to focus on domains like, inter alia, energy, environment, border 
management,  transport,  private  sector  development,  support  to  the  ‘Partnership  for  peace’  process  in  the  Middle-East,  Union  for  the 
Mediterranean, functioning of regional cooperation frameworks (Northern Dimension and Black Sea Synergy)  and the multilateral track of the 
Eastern Partnership. 

Outputs 

1.  CBC  programmes, 
  including  European 
Regional  Development  Fund  –  European 
Territorial  Cooperation  –  Contribution  from 
Heading 4 
2. Measures enhancing  regional co-operation in 
the southern Neighbourhood 
3.  Measures  enhancing  regional  co-operation 
among Eastern Partnership countries 

F 

P 

F 
P 
F 
P 

2014 
15 

1 

12 
13 
11 
11 

Number of outputs foreseen (F) and produced (P) 
2017 
17 

2016 
17 

2018 

2015 
17 

2019 

2020 

13 

12 
14 
10 
13 

13 

10 
14 
13 
13 

15 

10 
10 
10 
11 

11 

10 

10 

10 

12 

10 

5. Programme contribution to the Sustainable Development Goals 

All SDGs are somewhat addressed through ENI cooperation and policy dialogue. 

The revised European Neighbourhood Policy (2015) introduced differentiated partnerships with the neighbourhood countries, with 
the  key  goal  of  stabilisation.  It  provides  the  EU  with  the  necessary  tools  to  reach  out  to  partner  countries  on  security,  building 
resilience, good governance, democracy and human rights (goal 16), but also economic development (goal 8), connectivity (goal 9), 
energy (goal 7), migration and mobility and, as such, supports sustainable development. 

The  EU  champions  a  rights-based  approach  to  development  cooperation,  whose  implementation  is  critical  in  delivering  on  the 
SDGs.  This  approach  encompasses  all  human  rights  and  promotes  inclusion  and  participation,  non-discrimination,  equality  and 
equity, transparency and accountability.  Gender equality (goal 5) is at the core  of the EU's values and enshrined in its legal and 
political framework. The EU will promote women's rights, gender equality and the empowerment of women and girls as a priority 
across all areas of external action, consistent with the Gender Action Plan. 

Whenever possible, and in relation to the development of relevant statistical indicators, the above-mentioned areas, as well as other 
less explicitly focused, will be addressed. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

Neighbourhood Investment Platform (former Neighbourhood Investment Facility) 

The  Neighbourhood  Investment  Platform  (NIP)  of  the  European  Union  contributes  to  achieving  the  objectives  of  the  European 
Neighbourhood Policy (ENP) or related EU thematic policy priorities by leveraging additional financing for the region. The NIP 
overarching  objective  is  to  mobilise  additional  investments  to  support  the  establishment  of  an  area  of  prosperity  and  good 
neighbourliness involving the EU and neighbouring countries. In complementarity with other EU-funded programmes, the NIP can 
foster sustainable, inclusive growth and a favourable investment climate in our partner countries. 

Support to the Facility for Euro-Mediterranean Investment and Partnership (FEMIP) 

The objective of the support to FEMIP is to provide capital to the private sector  of Mediterranean partner countries on terms that 
are  not  available  locally.  Risk  capital  is  invested  directly  or  indirectly  in  order  to:  (i)  support  the  private  sector,  i.e.  enable  the 

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creation, restructuring or growth of enterprises; (ii)  strengthen the role of the local  financial sector by supporting the creation of 
new institutions or the establishment of new activities for the benefit of the private sector. 

More information regarding the Financial instruments can be found at the documents accompanying the Draft Budget as per Art. 
38(5) FR, Art. 49(l)(e) FR, Art. 140(8) FR. 

EUTF “Madad” 

The EUTF aims to bring a more coherent and integrated EU response to the crisis by merging various EU financial instruments and 
contributions from Member States into one single flexible mechanism for quick disbursement. The Trust Fund primarily addresses 
longer term resilience needs of Syrian refugees in neighbouring countries such as Jordan, Lebanon, Turkey and Iraq, as well as the 
hosting communities and their administrations. The Trust Fund has to date, for example, provided over 600.000 children and youth 
with access to quality education, protection and psycho-social services; offered 3,847 full scholarships, 5,741 language courses and 
over 40,000 counselling sessions to Syrian and host community students. It has furthermore helped refurbish critical emergency, 
maternal and child healthcare infrastructure, provided equipment and training to hospital staff in Lebanon and in Iraq. In addition 
over  1.5  million  Syrians  and  host  community  members  in  Jordan,  Lebanon,  Turkey  and  Iraq  are  benefiting  from  programs 
strengthening resilience, social cohesion and providing vocational training and socio-economic support, including for the set-up of 
small businesses. Also Syrian refugees in Armenia are supported through Madad. 

ENI contribution to EUTF Madad: 

  EUR 20 million in 2014 (committed) 
  EUR 361 million in 2015 (committed) 
  EUR 142.5 million in 2016 (committed) 
  EUR 190.23 million in 2017 (committed) 

EUTF Africa 

The EU Emergency Trust Fund was established at the Valletta Summit on 12 November 2015 to address the migration crises in the 
region of Sahel/Lake Chad, Horn of Africa and North Africa encompassing a total of 23 countries.  

The EU Trust Fund for Africa is aimed at supporting all aspects of stability and to contribute to better migration management as 
well  as  addressing  the  root  causes  of  destabilization,  forced  displacement  and  irregular  migration.  It  will  do  so  by  promoting 
resilience, economic and equal opportunities, security and development and addressing human rights’ abuses. The EU Trust Fund 
for  Africa  is  meant  to  complement  existing  EU  instruments,  national  and  regional  frameworks,  and  bilateral  programs  of  EU 
Member States by providing a swift and flexible answer to migration-related challenges. 

ENI contribution to EUTF Africa: EUR 55 million in 2016 (committed) and EUR 168.81 million in 2017 (committed) 

7. Programme related additional information 

Following the London conference in February 2016, the EU has committed itself to provide an important financial assistance to the 
countries affected by the Syria crisis. Under the pledges from the EU budget for 2016-2017 for a total amount of EUR 1.39 billion 
ENI contributed EUR 155 million in 2016 (for Jordan, Lebanon and Syria) and EUR 190 million in 2017 (for Jordan and Lebanon).  

At the Brussels I conference in 2017, pledges from the EU budget for 2018 for Syria, Jordan and Lebanon amounted to EUR 560 
million, out of which ENI will contribute EUR 250 million. 

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HEADING 4: Global Europe 

Development Cooperation Instrument (DCI) 
Lead DG: DEVCO 
Associated DGs: EAC 

I. Programme Overview 

What the programme is about? 

 In  the  field  of  development  cooperation,  the  EU’s  primary  objective  is  the  reduction  and,  in  the  long  term,  the  eradication  of 
poverty.  In  line  with  the  new  European  Consensus  on  Development447,  which  implements  the  2030  Agenda  of  Sustainable 
Development448  in  relation  to  development  policy,  the  DCI  also  contributes  to  the  achievement  of  a  range  of  objectives  of  EU 
external  action,  in  particular  fostering  sustainable  economic,  social  and  environmental  development  as  well  as  promoting 
democracy, the rule of law, good governance and respect for human rights, preserving peace and preventing conflict, improving the 
quality of the environment and the sustainable management of global natural resources, assisting populations, countries and regions 
confronting natural or man- made disasters, and promoting an international system based on stronger multilateral cooperation and 
good global governance. Through the DCI, the EU also aims to aims to ensure that both positive and negative impacts of migration 
on development are recognised in national and regional development strategies. It also provides assistance to countries wishing to 
strengthen migration governance in order to achieve development outcomes. 
The  DCI  covers  all  the  developing  countries  except  the  countries  eligible  for  the  Pre-Accession  Instrument.  It  is  made  of  three 
components: (1) the geographic programmes that, so far, have funded bilateral cooperation with 29 countries and 3 regions; (2) the 
thematic  programmes  which  finance  (2.1)  Global  Public  Goods  and  support  (2.2)  Civil  Society  Organisations  and  Local 
Authorities; (3) the Pan-African programme which funds the implementation of the joint Africa-EU Strategy. 

EU added value of the programme 
As shown by the DCI Mid Term Review Report (MTR) 449, its added value compared to interventions by Member States and other 
donors is apparent on a number of issues, including:  
  The previous experience and knowledge of a given sector derived from long-term experience, commitment and diversity of 

partnerships.  

  Specific technical/regulatory expertise or knowledge of best practices.  
  Departure of other donors 

II. Programme Update 

Implementation Status (2014-2017) 

The DCI appropriations 2014-2017 were fully used and implemented as planned, through a comprehensive programming process. 
The result of the process has been a set of programming documents that define per bilateral/regional/thematic programme: the 
priority areas for financing, the specific objectives, expected results, indicators and indicative allocations. There is no need for 
corrective action at this stage. Annual programmes can be consulted at: http://ec.europa.eu/europeaid/funding/funding-instruments-
programming/annual-action-programmes_en . 

Key achievements 

In 2017 EU bilateral aid under the DCI is more focused on countries that need it the most, such as Least Developed Countries  and 
Lower  Income  Countries,  while  the  share  of  Upper  and  Middle  Income  Countries  has  been  significantly  reduced.  Similarly,  at 
country  level  EU  aid  is  more  focused  with  three  or  less  sectors  of  concentration  in  each  partner  country.  Among  the  sectors  of 
concentration,  DCI  support  is  strongly  focused  on  Inclusive  and  Sustainable  Growth  for  Human  Development,  which  is  also  a 
priority area of the Agenda for Change. 

For more details and examples, see: 
https://ec.europa.eu/europeaid/annual-reports_en 
https://ec.europa.eu/europeaid/year-stories-european-year-development-2015_en 
https://ec.europa.eu/europeaid/sites/devco/files/brochure-mdg-2015_en.pdf 
https://ec.europa.eu/europeaid/projects-results_en 
https://ec.europa.eu/europeaid/sites/devco/files/budget-support-trends-results-2017_en.pdf 
https://ec.europa.eu/europeaid/sites/devco/files/eu-results-report_2013-2014_en.pdf 

447 "The new European Consensus on Development: Our World, Our Dignity, Our Future". Joint statement by the Council and the representatives of the 
governments of the Member States meeting within the Council, the European Parliament and the Commission (OJEU C 210/1, 30.6.2017). 
448 United Nations General Assembly, "Transforming our world: the 2030 Agenda for Sustainable Development" (A/69/L.85).  
449 Commission staff working document "Evaluation of the Development Cooperation Instrument" SWD(2017) 600 final of 15.12.2017, page 17, point 5.4. 

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1. Geographic programmes: 

In  2017,  programme  implementation  and  formulation  for  Latin  America  largely  went  according  to  planning  and  no  major 
problems or delays  were experienced. The  total available amount of DCI credits of over EUR 333.3 million  was committed and 
virtually all the countries of the  region benefitted  from new bilateral and/or regional programmes  in  key sectors such as  climate 
change,  private  sector  and  investment,  security,  rule  of  law  and  governance.  Roughly  a  quarter  of  this  total  amount  committed 
corresponds  to  budget  support  operations  which  put  emphasis  on  sector  policy  dialogue  and  reforms  in  the  public  sector, 
particularly in the area of public financial management.  

In El Salvador, for example, the new EUR 20 million “support to Plan El Salvador Seguro” programme, will build on a positive 
and longstanding cooperation in violence prevention  with special focus on Youth. The EU action in this field has already  yielded 
significant results in the country like for instance the rehabilitation of public spaces in 20 municipalities with over 5200 children 
and adolescents participating in sports schools and over 1600 families participating in family integration programmes. Farther south 
in  Bolivia,  the  new  EUR  51  million  “integrated  water  and  natural  resources  management”  programme  is  expected  to  build  on 
significant achievements of previous budget support operations in the country, in the  area of  water and sanitation and  watershed 
and natural resources management, by strengthening the attention to Climate Change resilience. Concrete results in this area since 
2010 include the following: (1) 45 municipalities with an Hydric Early Warning System, (2) over 100,000 water and over 100,000 
sewage new connections in peri-urban areas, (3) 300,000 new inhabitants with access to safe water and 90,000 new inhabitants with 
access to improved sanitation in rural areas, (4) 22 national protected areas and 8 subnational protected areas with a management 
system. 

Partner countries have also benefitted from significant DCI disbursements in 2017. In  Peru for example, a disbursement of EUR 
9.4  million  under  the  on-going  budget  support  programme  in  support  of  the  “national  strategy  for  development  and  social 
inclusion”  will  further  incentivise  and  help  the  country  to  pursue  reforms  in  the  public  financial  management  area  and  improve 
development indicators related to inter alia, the schooling of young children and adolescents in some of the poorest districts of the 
Amazon regions and the access of rural households to basic services such as electricity and water and sanitation.  Solid results have 
been achieved so far. For example, the ratio of children under three years attending pre-schooling in some of the poorest districts of 
Amazonia has increased to almost 62% in 2016 from 46% in 2014.   

Furthermore, in Colombia, thousands of vulnerable families in remote and post-conflict regions benefitted from improved income 
generation  opportunities,  which  contributed  to  the  reduction  of  the  development  gap  and  consolidation  of  peace  in  the  country. 
More than 500 peasant families benefitted from the agreements of use, occupancy and tenure of land and natural resources within 
protected areas and more than 1000 indigenous and Afro Colombian families benefitted from the implementation of sustainable 
economic  initiatives.  The  approach  of  medium  term  support  through  sector  budget  operations  mainly  allows  to  align  the  EU 
assistance to the partner country's national development plan and to strengthen progress in the implementation of a sector policy. It 
also allows addressing persistent issues such as the large income imbalances in Colombia and access to land, particularly in rural 
areas. This support is a building block for the initiatives in implementation during 2018 under the EU Trust Fund for Colombia, in 
support of the implementation of the peace agreement. 

With regard to regional cooperation, successful initiatives in strategic sectors were enhanced in 2017, such as  Euroclima+ for the 
fight  against  Climate  Change  and  the  Latin  America  Investment  Facility  -  LAIF  for  sustainable  economic  growth.  In  addition, a 
new regional facility was launched aiming at better engaging with higher income countries in the region on the implementation of 
the Agenda 2030 and the Sustainable Development Goals (‘Development in Transition’ initiative). Existing regional initiatives are 
delivering  results  from  their  side  as  for  “Eurosocial+”  which  supports  social  cohesion  and  public  policies  in  Latin  America 
countries,  by  providing  peer  to  peer  expertise,  in  line  with  the  EU-CELAC  action  plan,  generating  amongst  others  employment, 
health care models, access to justice, improvement of public finance and legal basis in support of gender. 

In  Asia,  Budget  support  is  an  increasingly  important  aid  modality  in  the  region,  working  directly  with  country  systems  and 
reinforcing dialogue on key reforms and improving public financial management systems, domestic revenue mobilisation efforts, 
transparency and accountability. Budget support operations made up broadly 46% of total financial commitments for the Asia and 
Pacific region in 2017 DCI budget (including regional programmes).  

The DCI Budget successfully financed in 2017: 

 
 

 
 

support for the preparation and holding of competitive elections in Kyrgyzstan; 
strengthening democratic participation and civil society capacities in Myanmar and Cambodia  in a challenging political 
environment as demonstrated by the Rohingya crisis and the restrictions in the political and civic space in Cambodia; 
budget support for human capital development (primary education, technical and vocational training) in Bangladesh; 
support for the historic political change in Myanmar through a state building contract worth EUR 150 million with the new 
government of Aung San Suu Kyi, in particular to support education. 

There was also increased financial and technical support to support internally displaced persons, refugees and host communities in 
Afghanistan, Pakistan, Bangladesh, Iran and Iraq. In total, EUR 287.5 million were committed under special measures in 2016 and 
2017 to support the above countries, specifically, in addressing challenges related to migration and forces displacement. A focus of 
these interventions is on strengthening cooperation with these partner governments over supporting returnees.  

In Yemen, decisions dating from 2012 and 2013 that had been suspended in 2014 due to the ongoing conflict were substantially 
amended and re-activated in 2017. These modifications aim to: 

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 

 

 

 

support  stabilisation  in  rural  areas,  helping  maintain  the  resilience  and  social  cohesion  of  rural  communities  despite  the 
worsening political and humanitarian situation in the country; 
ensure  the  functioning  of  basic  health  services,  particularly  important  considering  the  ongoing  cholera  epidemics  and 
diphtheria outbreak; 
launch  a  cash  for  work  intervention  to  provide  beneficiaries  with  training  and  short-term  employment  opportunities  in  the 
reconstruction of public infrastructures; 
support the creation of micro-businesses through seed financing and training, with the youth as main target group . 

In Iraq, a set of key operations were launched to: 
 
 

support Public Finance Management (PFM) reforms through a new good governance programme; 
address the needs of  refugees/ IDPs and host communities in particular through: 

o  work on justice, de-radicalisation and education; 
o 

a coherent and reinforced aid response to the Syrian crisis on a regional scale through the Madad Trust Fund; 
bolster long-term structural stability by helping Iraqi national institutions solve the current crisis and deliver effective services 
and support to the entire population, including displaced people and refugees; 

 

In Pakistan, the focus of development cooperation achievements in: 
 
 

strengthening education in Sindh province and promoting rural development in Sindh and Baluchistan provinces. 
helping  populations  become  more  aware  of  their  rights  and  to  take  an  active  role  in  their  own  development,  including  the 
implementation of a newly signed programme 'Promotion of Human Rights in Pakistan'. 
support to Parliamentary Reforms. 

 

South Africa 
From the outset the objective of the EU assistance was the improvement of the living conditions of the previously disadvantaged 
population groups and the consolidation of the new democratic institutions. EU assistance covered practically all relevant areas and 
thus  contributed  to  the  socioeconomic  progress.  Although  significant,  the  EU  development  assistance  represents  only  a  small 
percentage of South Africa's GDP and budget. EU support therefore targets programmes with a high value added (e.g. innovation, 
risk taking, capacity building, pilots with a high potential for replication), which the national voted budget does not foresee as it is 
considered too new or risky while not yet proven through a pilot. Many results are very encouraging but the full impact will only be 
reached once they are mainstreamed in government policies and their implementation fully achieved. 

Throughout  2015-2016,  EU-South  Africa  cooperation  under  the  Strategic  Partnership  intensified  and  support  through  the  DCI 
between mid-2015 and mid-2016 contributed to:  
 
 

increase by 14% the number of graduates qualifying as primary school teachers,  
programmes  to  raise  awareness  and  knowledge  of  constitutional  rights  reached  more  than  3  million  vulnerable  and 
marginalised South Africans.   
almost 2,600,000 ward-based primary health care outreach teams were displayed in the country. 

 
Furthermore,  the  "Dialogue  Facility",  funded  through  the  DCI,  has  continued  supporting  policy  dialogue  between  the  European 
Union and its Member States and South Africa, in various sectors: 8 dialogues were carried out in 2016/2017 and 9 additional ones 
were approved in 2017 with peer-to-peer exchanges, expertise provision, workshops and visibility actions. 

One key area of EU support is cooperation with civil society which spans over 3 decades, including before the end of the apartheid 
regime. This cooperation, that undeniably strengthened the SA social tissue as well as the EU's presence in many areas, spans over 
different sectors of activity. In particular, programmes have been put in place in 2015-2016 to secure the long-term sustainability of 
CSOs in the human rights sector. 

2. Thematic programmes 

2.1 Global Public Goods and Challenges ( GPGC) :  

Although  it  is  still  early  in  the  implementation  process  to  evaluate  GPGC  results,  the  various  external  and  internal  assessments 
point at relevant achievements produced by EU interventions at different levels.  

For  the  GPGC  Multiannual  Indicative  Programme  (MIP)  2014-2017,  it  is  possible  to  identify  initial  results  in  five  categories  of 
‘outcomes’ that are representative of the nature and concrete work of GPGC, respectively related to:  

1)  Governance outcomes (i.e. GPGC support to improve overall governance frameworks and rules); 
2)  Development outcomes  in the different domains of the GPGC; 
3) 

Institutional  and  capacity  development  outcomes  (i.e.  creating  a  more  favourable  institutional  environment  for  promoting 
evidence-based, multi-stakeholder policy processes on global public goods); 

4)  Mainstreaming of cross-cutting issues; 
5)  EU  flagship  initiatives  (i.e.  specific  EU  responses  to  various  key  policy  priorities,  mobilizing  thematic  and  geographic 

funding under a common strategic framework). 

Environment and Climate Change 

Environment and Climate Change, which are at the heart of the 2030 Agenda for Sustainable Development, were supported via the 
implementation  of  the  new  Agenda,  along  four  main  lines  of  action:  climate  change  adaptation  and  mitigation,  disaster  risk 

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reduction  and  the  transition  to  low-carbon  and  climate  resilient  development;  the  conservation  and  sustainable  use  of  healthy 
ecosystems and renewable natural resources (land, forest, water); sustainable production and consumption and the transition to an 
inclusive green economy; environmental governance. 

In 2017, DEVCO further enhanced efforts to mainstream environment and climate change in EU cooperation on the basis of the 
new  guidelines  adopted  in  2016:  with  444  members,  Capacity4Dev  –  the  environment,  climate  change  and  green  economy 
knowledge platform- is the most active group and received an internal communication award. Additionally to technical assistance 
support  provided  to  EU  Delegations,  more  than  350  action  documents  in  environment  sensitive  sectors  were  reviewed  for 
environment and climate change integration and climate and biodiversity-related financing were systematically tracked using Rio 
markers450. Between 2014 and 2017, there was a steady increase of climate change-related financing, which is getting closer to 20 
% of the funds managed.  

The EU continued to provide support for climate action to developing countries through its flagship initiative, the  Global Climate 
Change Alliance+ (GCCA+). The focus has been maintained on adaptation and on the most vulnerable countries, i.e. SIDS and 
LDCs (Mauritania, The Gambia, Ethiopia, Uganda, Mozambique and a regional Pacific action) but for the first time, and in line 
with  the  Paris  Agreement  and  the  implementation  of  Nationally  Determined  Contributions  (NDCs),  support  was  provided  for 
mitigation-specific actions in Ghana and Uganda.  

Furthermore,  as  part  of  the  global  objective  of  improving  governance  and  law  enforcement  and  promoting  private  sector  in  the 
forest  sector  (SDG15),  the  Food  and  Agriculture  Organization  (FAO)  EU  Forest  Law  Enforcement,  Governance  and  Trade 
(FLEGT) programme was extended by 4 years and EUR 16 million. To ensure that forest related global objectives in the fields of 
climate change mitigation and reducing deforestation also meet national inclusive development objectives, a EUR 6 million project 
was developed in 2017 to promote land use planning and zero-deforestation commodity value chain. 

The  B4Life  Flagship  contributed  to  integrating  the  conservation  of  biodiversity  and  ecosystems  in  development  strategies  and 
poverty eradication. The EU budget also mobilised substantial funds for protecting biodiversity and ecosystems. An allocation of 
EUR 10 million was made to preserve key environmental values in the region covered by four vulnerable biomes of the centre of 
South America (Cerrado, Chaco, Dry Chiquitanian and Tucumanian Forest and Pantanal) , and to contribute to the sustainability of 
its development dynamic, in particular with regard to the productive sectors (agriculture, mining). On the other hand, the DCI has 
been  financing  the  programme  Save  Our  Species  (SOS),  which  aims  protecting  endangered  species,  in  particular  the  African 
carnivores. 

EU  budget  also  supported  the  sustainable  management  of  land,  as  a  foundation  for  resilience  building,  food  security,  fighting 
climate  change,  economic  prosperity,  and  addressing  the  root  causes  of  instability  and  migration.  Though  the  scaling-up  of 
evergreen agriculture practices over an area of at least 1 million hectares, the dissemination of costs and benefits of sustainable land 
management,  and the development of agroforestry  value  chains, the action 'Reversing land degradation by scaling-up  EverGreen 
agriculture' aims at improving livelihoods, food security and resilience to climate change by smallholder farmers in eight African 
countries and restoring ecosystem services, therefore contributing to the sustainable management of a finite yet keystone resource.   

Finally, the DCI has financed the further development and implementation of EU SWITCH to Green initiative, which supports the 
transition  to  the  green  economy  in  partner  countries  through  policy  support  and  green  business  development.  In  2017,  a  second 
phase of the SWITCH Africa Green programme was launched, building on the successful first phase, which delivered support to 
3,000 Micro, Small & Medium Enterprises (MSME) and contributed to create or secure 10,000 green jobs. 

Sustainable energy 
The objectives of development cooperation in the field of sustainable energy are to support social and economic development 
through the achievement of SDG 7 (ensuring access to affordable, reliable and sustainable and modern energy for all by 2030) and 
SDG 13 on climate action. Key initiatives comprise: 

the Electrification Financing Initiative (ElectriFI) – an innovative mechanism to unlock, accelerate, and leverage investments - 
that can increase and improve access to affordable, reliable, sustainable, and modern energy and promote the rational use of energy 
at a  global  geographical scale,  with a  special  focus on  Africa. ElectriFI  has attracted unprecedented interest  from private  sector, 
development  financiers  and  global  development  partners  as  a  key  platform  gathering  efforts  and  resources  in  support  of  the 
sustainable  energy  agenda,  such  as  the  United  States  Agency  for  International  Development  (USAID)  Power  Africa,  which  has 
contributed to ElectriFI since 2016 with an amount of USD 10 million targeted at Sub-Saharan Africa. This initiative was launched 
at  COP21  (2015)  and  since  then  the  ElectriFI  operations  have  been  increasing  in  number  and  scope.  The  current  investment 
portfolio of ElectriFI is close to EUR 30 million and due diligence is ongoing for an additional EUR 100 million of investments 
that  would  result  into  452,000  new  connections  to  electricity,  88  MW  of  new  renewable  energy  generation  capacity  and  the 
reduction of about 200,000 tons of CO2 equivalent per year. 

Climate Investor One (CIO),  which complements ElectriFI  in terms of project size or risks to be addressed. The initiative  was 
approved for an initial EU contribution of EUR 30 million to leverage an estimated total funding volume of EUR 626 million. CIO 
has  been  designed  to  provide  equity  funding  for  larger  scale  investment  projects  in  renewable  energy  with  a  size  from  10  MW 
generation capacity upwards and is  managed by the Dutch development finance institution FMO.the Africa Renewable Energy 

450 There are 4 policy markers to monitor and statistically report on the development finance flows targeting the themes of the Rio Conventions: 1) Biodiversity; 
2) Desertification; 3) Climate change mitigation (i.e. reductions in or absorption of greenhouse gas emissions); 4)Climate change adaptation (including climate risk 
mitigation and vulnerability reduction). 

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Scale-Up Facility (ARE Scale Up), which was also granted an EU contribution of EUR 24 million for a total estimated amount of 
EUR 238 million. ARE Scale Up aims at developing both on- and off-grid renewable energy projects across Africa by drawing onto 
AFD and PROPARCO synergies to address both public and private stakeholders. Finally, an EU contribution of EUR 30 million to 
the 'Transferability and Convertibility Facility' (T&C Facility) managed by Proparco was approved with the expectation to leverage 
more than EUR 450 million sustainable energy investments. The objective of the T&C Facility is to de-risk some 5 projects of 250 
MW  of  renewable  energy  generation  capacity  through  reducing  the  convertibility  and  transferability  risk  of  the  payments  to  be 
made by the energy off-takers. 

the Covenant of Mayors in Sub-Saharan Africa (CoM SSA), which mobilizes cities and local authorities for energy and climate 
action,  while  giving  cities  a  voice  on  the  matter  and  creating  a  global  network  of  city-to-city  cooperation  and  peer  learning.  It 
combines  ambitious  political  commitments,  strategic  planning,  monitoring  and  concrete  actions  in  order  to  pave  the  way  for 
sustainable infrastructure and finance. The EU supports a wide range of activities, including the network's development, improving 
capacities and assisting cities to design strategic plans on climate adaptation, climate mitigation and access to energy. In 2017, the 
CoM SSA made progress in particular on a) setting-up the overall support structure (CoM Office and establishment of a regional 
helpdesk in Accra); b) supporting a core group of cities through grants (contracts with 13 cities have been concluded and several 
inception visits organised).  

a call for proposals under a new initiative on Women and Energy, launched in 2017 to promote the role of women both within 
the energy value chain and as end-users of energy services for productive activities. Expected results will comprise increased access 
to  affordable  finance  and  to  sustainable  energy  services;  improved  women's  entrepreneurship;  increased  women's  technical  and 
business skills; improved general environment for women's entrepreneurship through political advocacy and awareness campaigns. 
A total of 3 grant contracts were signed for a cumulative amount of over EUR 18 million, with implementation expected to start in 
early 2018. 

Human Development 

Health 
The  Commission's  contributions  to  the  Global  Fund  against  AIDS,  Tuberculosis  and  Malaria  (GFATM)  and  the  Vaccine 
Alliance  (GAVI)  have  been  financed  jointly  through  the  DCI  budget  and  the  intra-ACP  programme  of  the  EDF.  For  the 
Commission  pledge  2014-2016  of  EUR  370  million  to  the  Global  Fund,  all  EUR  182  million  allocated  under  the  budget  were 
disbursed. The Commission pledged a further EUR 475 million over the period 2017-2019 which includes EUR 185 million from 
the budget. Commission contributions represent about 5% of total resources spent by the Global Fund, which helped put 11 million 
people on live-saving HIV-treatment, detected and treated 17.4 million cases of tuberculosis, and distributed 7953 million bed nets 
to prevent malaria.  

The  Commission  pledged  EUR  200  million  to  GAVI  for  2016-2020,  including  EUR  70  million  from  the  DCI  budget. 
EUR 19.9 million  were  disbursed  from  the  budget  in  2014-2016  from  earlier  pledges.  The  Commission  contribution  represents 
about  2%  of  total  resources  spent  by  GAVI,  which  helped  to  fully  immunise  277  million  children  in  2011-2015  and  another 
300 million foreseen in 2016-2020. 

The Commission provided World Health Organisation (WHO) with a grant of EUR 28 million during the period 2016 to 2018 from 
the  DCI  instrument  through  a  Universal  Health  Coverage  Partnership  in  collaboration  with  Luxembourg,  to  strengthen  WHO 
country office capabilities in 27 partner countries, of which EUR 17.81 million were dispersed from the budget.  

The Commission provided a grant of EUR 20 million to UNFPA Supplies during the period 2016-2017 to improve access to sexual 
reproductive health and rights, under the budget.   

Education 
EU involvement in financing and governance of the  Global Partnership for Education (GPE) and the Education cannot Wait 
(EcW) platform made it possible to make progress in addressing the global learning crisis, in particular regarding vulnerable groups 
in LICs and children in situations of crises, whose access to education has improved. 

EU and other donors' contributions to GPE resulted in achieving 16 out of GPE's 19 milestones set for 2016, across key dimensions 
such as education policy, management, access, quality, equity and learning outcomes.13,2 million children were supported by GPE, 
49,5%  of  children  in  supported  countries  completed  lower  secondary  education,  the  ratio  of  out-of-primary-school  children 
decreased to 19.8% and the proportion of countries with pupil/trained teacher ration below 40 at primary level increased to 29%.  

The EU also contributed to improving education opportunities for children living in crisis-affected countries and to shaping the 
global agenda for education in emergencies and protracted crises, through financing (EUR 37 million in 2016/2017) and proactive 
involvement in relevant governance structures and global policy decision-making.  

Gender equality and Women's Empowerment 
A renewed and expanded EU commitment was made in 2015 when the Council of the EU adopted the 2016-2020 Gender Action 
Plan - mandatory for all EU external relations. It has been implemented via bilateral and thematic programmes and by fostering the 
effective  inclusion  of  the  gender  perspective  in  the  programming  process  –  a  gender  analysis  being  mandatory  for  all  new 
programmes. A Report on its first year of implementation was prepared and released in August 2017. Progress is evident even if 
slow:  additional  42  EU  Delegations  based  their  programming  on  gender  analysis,  more  dedicated  political  and  management 

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leadership  was  mobilised  across  the  different  EU  actors,  gender  equality  work  monitoring  improved  and  mainstreaming  was 
incorporated in an increasing number of EU processes and documents. Full details are available in the report.451 

A Call for Proposals (EUR 32 million) was launched in 2017 on  preventing sexual and gender based violence against women 
and  girls  in  developing  countries,  in  alignment  with  the  initial  priorities  i.e.  on  the  promotion  of  gender  equality,  tackling  its 
structural causes and addressing all forms of gender-based discrimination. Proposals started being evaluated. 

Promotion of child well-being 
Programme priorities in this area have been to i) support systems ensuring children access to an identity as "child first rights", and 
ii) fight against traditional harmful practices and social norms affecting children, both participating in to objective iii) on the 
establishment of national and local systems and strategies aiming at protecting children from all forms of violence. Four projects 
were engaged with United Nations Agencies, respectively:  
  UNICEF-UNFPA Global Programme to Accelerate Action to End Child Marriage (EUR 6 million); 
  UNFPA-UNICEF  Joint  Programme  on  the  Abandonment  of  Female  Genital  Mutilation/Cutting:  Accelerating  Change 

(EUR 6 million under the DCI GPGC and EUR 5 million under the DCI PanAf); 

  UNICEF  project  Breaking  with  broken  systems:  partnership  for  the  legal  identity  of  African  and  Asian  children  (EUR  4 

million);  

UNFPA Global Programme to Prevent Son Preference and Gender-biased Sex Selection: Improving the sex ratio at birth in select 
countries in Asia and the Caucasus (EUR 2 million). 

EU support to pilot projects or joint programmes managed by UN agencies to address harmful practices affecting boys and girls has 
been instrumental by its leverage effect and the amplification of EU support through large scale actions and long-term support on 
social  norm  change,  in  full  alignment  with  SDG  5  and  goal  5.3  on  the  elimination  of  harmful  practices  (child  early  and  forced 
marriage and female genital mutilations).  

200 million girls worldwide have undergone Female Genital Mutilation/Cutting (FGM/C) as well are at risk of being cut by 2030. 
As  first  results  reached  under  UNFPA-UNICEF  Joint  programme  on  the  abandonment  of  FGM/C  covering  17  countries, 
12 countries have now adopted national budget lines to address the practice, and more than 1.5 million girls and women received 
services for protection and care. 3,000 communities representing 8.5 million individuals made public declarations of abandonment 
of  FGM/C.  Regional  and  national  networks  of  faith-based  organisations  have  been  operationalised  in  the  Arab  States  and 
cooperation established with the Pan-African Parliament. A FGM case-tracking tool has also been activated. 

700  million  women  and  girls  alive  today  married  before  18  (110  million  in  Sub-Saharan  Africa)  and  250  million  before  15. 
Through DCI, the EU supported the UNICEF-UNFPA Global programme to accelerate action to end child marriage, which covers 
12 countries in Africa and Asia. Over 754,000 girls were reached through girls' clubs, schooling initiatives or skills training, and 1.6 
million individuals reached, including boys, girls, religious leaders, elders and key decision-makers through initiatives designed to 
facilitate a change in attitude and practices. Seven countries452 so far have developed National Actions Plans to end child marriage. 
7,500 schools and 403 service delivery points were supported to ensure sustainable improvements in health and educations systems 
to meet girls' needs and support their empowerment.  

117 million  women across  Asia are  missing largely due  to son preference at birth and current  sex ration imbalance at birth. EU 
support to UNFPA Global programme to prevent son preference and gender-biased sex selection in Asia and the Caucasus aims at 
strengthening  evidence-based  national  policies  and  programmes  in  addressing  this  issue  in  6  countries453.  The  action  started  in 
2017: in its inception phase, the focus  was placed on the consolidation of partnerships through selection and training of national 
research  partners,  for  data  collection,  trends  analysis  and  multi-disciplinary  research  on  male's  preference  at  birth  and  missing 
women. Technical assistance has been provided to authorities for law and policy development and national and regional advocacy 
initiatives.  

While  excellent  results  have  been  collected  from  the  first  phase  of  the  UNICEF  regional  programme  "Towards  universal  birth 
registration in  Africa", co-funded by the EU in the period 2014-2016, results are  not  yet available  from the second phase of the 
Programme, co-funded by the DCI in 2017. 

Culture 
An innovative action to support  inter-cultural and inter-religious dialogue in countries  with  fragile situations  was launched in 
March 2017 and 5 initiatives were identified for a total of EUR 10 million. Implementation will start in 2018. At the end of 2017, 
the  EU  adopted  a  new  programme  supporting  investment  in  culture  and  creativity  amounting  to  EUR  15  million  and  starting 
implementation in 2018, in order to contribute to strengthen cultural and creative industries, public governance and valorisation of 
cultural heritage in key partner countries. 

Employment, decent work, skills, social protection and social inclusion 
The  programme  2014-2017  focused  on  supporting  high  levels  of  productive  and  decent  employment,  including  through 
vocational education and training, as well as the extension of social protection coverage through the establishment of nationally-
defined  social  protection  systems  and  floors.  Two  facilities  for  peer  to  peer  technical  assistance  were  contracted  in  the  areas  of 

451 Joint Staff Working Document EU Gender Action Plan II "Gender Equality and Women's Empowerment: Transforming the Lives of Girls and. Women through 
EU External Relations 2016-2020" Annual Implementation Report - 2016 SWD(2017)288 of 29.8.2017.  
452 Burkina Faso, Ghana, Mozambique, Uganda, Zambia, Ethiopia, and Nepal.  
453 Armenia, Azerbaijan, Georgia, Bangladesh, Nepal and Vietnam. 

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social protection, labour and employment (Socieux+) and vocational education and training (VET Toolbox); the Research Facility 
on Inequalities also  started aiming to understand factors of social and economic inequalities. The programme also supported the 
social and economic inclusion of marginalised and excluded groups and individuals, in particular people with disabilities through 
the project Bridging the Gap, as well as indigenous populations. Further to the pilot project to combat unacceptable forms of work 
in  the  Thai  fishing  and  fish  industry  sectors,  a  new  programme  to  promote  responsible  value  chains  in  the  garment  sector  was 
adopted  to  address  decent  work  and  labour  standards  in  the  garment  industry  (contribution  to  the  Vision  Zero  Fund)  and  to 
eliminate child labour and forced labour in the cotton, textile and garment value chain sectors with accompanying measures. A call 
for proposals to support advocacy, transparency and traceability activities in these value chains was launched end 2017. 

Growth, jobs and private sector engagement 
In 2017, the Commission signed the following 4 new actions: 

Contribution  to  the  Enhance  Integrated  Framework  (EIF)  -  Phase  2,  a  multi-donor  action  capable  of  playing  a  key  role  in 
supporting and assessing the quality of possible integration into value chains, and the type of value chain and sectors that  are most 
common in specific countries and regional integration processes. The programme launched in the last quarter of 2017 has helped 
donors to deliver on their Aid for Trade commitments and LDCs to play a more active role in trade and global value chains.  

Promoting responsible supply chain in the area of conflict minerals (3TG), to support the implementation of an appropriate set 
of  accompanying  measures  to  be  carried  out  in  developing  countries  in  support  to  the  forthcoming  EU  Regulation  to  ensure  the 
responsible sourcing of 3TG minerals (tin, tantalum, tungsten and gold) from conflict-affected and high-risk areas. While bringing 
sustainable  development  for  the  populations  living  in  these  areas,  these  measures  will  make  it  possible  to  comply  with  the 
mandatory  requirements  on  due-diligence  set  for  the  importers  of  3TG  minerals  to  the  EU  Internal  Market.  Implementation  will 
start in 2018 after the signature of the delegated cooperation agreement with the Netherlands Ministry of Foreign Affairs (MFA),to 
finance the call for proposals to be launched by the  European Partnership on  Responsible Minerals (EFRM) in  support of  small 
scale  projects  aiming  to  improve  the  socio  economic  conditions  of  the  Artisanal  and  Small  Scale  Mining  Sector  in  the  conflict 
affected areas of developing countries.    

Women Economic Empowerment, under the DCI blending framework to leverage additional public and private sector financial 
resources, to enhance access to finance and support the type of ecosystems needed for promoting women economic empowerment 
and inclusiveness, to improve access to financial and non-financial capacity building services with integration of digital enablers, 
and  to  demonstrate  potential  for  upscaling,  replication  and  mainstreaming  in  key  cooperation  sectors  and  their  value  chains,  i.e. 
agriculture,  livestock,  fisheries  and  natural  resources,  renewable  energy,  health  and  education,  garment,  infrastructure  with 
emphasis on green growth etc. This action was presented in various fora and the EU Platform for Blending in External Cooperation 
in order for the Lead Financial Institutions to proceed with the preparation and submission of relevant proposals. 

Action promoting responsible value chains in the garment sector with a focus on Decent Work and Transparency/Traceability.  

Food security, nutrition and agriculture 
In 2017, all three components of the Food Security and Sustainable Agriculture programme received funding. Building resilience 
for  the  poor  and  food  and  nutrition  insecure  to  effectively  respond  to  crises,  was  the  main  focus  of  the  2017  AAP  with  a  total 
budget  of  EUR  140  million.  The  2017  Global  Report  on  Food  Crises  Annual  Report  together  with  the  PRO-Act  methodology, 
introduced  in  2014,  enabled  decision  makers  also  this  year  to  identify  and  prioritise,  based  on  a  series  of  food  and  nutrition 
insecurity indicators, the countries and regions that are most in need and where funds can have greater impact. In 2017, support via 
the  GPGC  thematic  programme  was  provided  to  El  Niño-related  extreme  weather  events:  Democratic  People’s  Republic  of 
Korea,  Malawi,  Somalia,  Venezuela  and  the  West  Africa  Region  and  to  political/military  protracted  crises:  Nigeria,  Yemen, 
Syria,  Central  African  Republic,  and  Democratic  Republic  of  Congo.  Also  additional  funding  was  made  available  to  reduce  the 
risks of new  humanitarian crises and the scale and impacts of future  crises as  well as the risks of  mass flow of  migrants  fleeing 
hunger in countries which will be selected in early 2018. Country-level funding is complemented with support to consolidate and to 
expand  the  global  mechanism  for  timely  addressing  food  crises  consisting  of  a  global  system  for  data  collection  and  analysis, 
coupled with a network to coordinate and manage responses in a timely manner. 

The  Agriculture  Financing  Initiative  (AgriFI)  initiative,  launched  at  the  end  of  2015,  has  used  public  money  to  de-risk  and 
thereby  increase  investment  in  smallholder  agriculture  and  agri-businesses  in  developing  countries  with  the  aim  of  achieving 
inclusive and sustainable agricultural growth. EUR 69 million from the DCI was transferred to thematic blending facility in support 
of  this  aim.  In  2017,  two  contracts  were  signed  with  European  Development  Finance  Institutions  to  implement  this  agricultural 
blending: 
  With  KfW  Development  Bank,  a  EUR  30  million  contribution  to  the  African  Agriculture  Trade  and  Investment  Fund,  to 
acquire fist-loss C-shares, allowing the Fund to attract more A and B shares into the fund, and increase the total investment 
portfolio, reaching more smallholders and agri-businesses.  

  With FMO, a EUR 30 million investment in the AGRIFI project, which will leverage private and public resources into smaller 

investment proposals in support of private operators, focussed upon smallholder promotion. 

Finally,  Cities  and  Climate  Change  for  Africa  (CiCLIA)  aims  to  help  cities  in  Sub-Saharan  Africa  to  turn  their  urban  climate 
strategies  into  investments  ready  for  implementation.  Its  objectives  include:  1)  Meeting  the  demand  of  low-carbon  and  climate 
change-resilient  infrastructure  in  SSA;  2)  Systematically  translating  local  climate  strategies  into  ready  to  implement  projects; 
3) Fully  achieving/maximising  climate  co-benefits  of  urban  projects;  4)  Ensuring  the  contribution  of  cities  to  their  National 
Determined Contributions (NDCs). The entire EU commitment of EUR 8 million was used in 2015.  

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An  action  to  support  governance  of  global  food  &  nutrition  security  to  build  resilience  (EUR  27.5  million)  was  approved  to 
strengthen the  capacities of  key institutions and other stakeholders involved in the governance of the  food and nutrition security 
agenda,  to  deliver  sustainable  development  and  address  food  insecurity  issues  and  the  root  causes  of  undernutrition.  Nine  key 
players are targeted by the action, all of which the EU has previous experience of working with: the three Rome Based Agencies 
(RBAs), the Committee on Food Security (CFS), the Secretariat of the Scale Up Nutrition (SUN) movement, the Secretariat of the 
Global Donor Platform  for Rural Development (GDPRD), the Global Crop Diversity Trust (Crop Trust), the International Trade 
Centre (ITC), and PROFISH. In line with EU experience and potential added value, four key areas of FNS governance are focussed 
on,  namely:  effective  governance  mechanisms  and  coordination  systems;  evidence  for  policy  and  decision  making;  stakeholder 
participation, dialogue and political leadership and implementation of norms and standards.  

The action "Putting Research into Use for nutrition, sustainability and resilience  – PRUNSAR" was topped up with EUR 10 
million  to  complement  ongoing  actions  by  intensifying  and  diversifying  nutrition-sensitive  rice-based  farming  systems  and  by 
expanding support to large-scale adoption of climate-resilient agriculture technologies. In addition, the spread of "Peste des Petits 
Ruminants"  is  putting  in  jeopardy  the  livelihoods  of  millions  of  smallholder  farmers.  This  modification  will  allow  to  conduct 
epidemiologic studies so as to fill crucial knowledge  gaps and to test the effectiveness of new vaccines more adapted to African 
conditions. 

Finally the AAP included also an action to combat the Fall Armyworm (FAW) - a pest spreading rapidly across Africa, causing 
extensive damage to staple cereals and great economic losses. The action will enhance resilience of smallholder maize growers in 
eastern Africa through enhanced preparedness and eco-friendly management of the threat posed by the invasive fall armyworm. In 
the  short  term,  the  action  will  support  preparedness,  early  warning  and  immediate  responses,  including  by  promoting  the  least 
environmentally damaging control options that are currently available, and building capacity on their use, while the main thrust of 
the action is in the development and implementation of a sustainable cost-effective strategy to manage FAW in the longer term. 

Migration and asylum 
Since  2014,  migration  and  forced  displacement  are  on  top  of  the  EU  agenda.  In  the  framework  of  the  European  Agenda  on 
Migration adopted in 2015 several policy and operational measures have been launched, including the Valletta Declaration and its 
Action  Plan,  a  new  development-oriented  EU  approach  towards  forced  displacement,  the  Partnership  Framework  and  more 
recently  the  European  External  Investment  Plan.  In  addition,  following  the  New  York  Declaration  for  Refugees  and  Migrants, 
adopted  in  September  2016,  migration  is  high  on  the  international  agenda,  and  two  Global  Compacts  on  migrants  and  refugees 
respectively, are to be adopted by the end of 2018. Within this overall policy context, a coherent and comprehensive EU response is 
required,  including  development  assistance  to  partner  countries  in  this  area.  A  number  of  measures  have  been  launched,  in 
particular since 2015. Implementation of the Migration and Asylum area of action of the GPGC has proven well suited to finance 
innovative  actions  of  a  pilot  character  that  can  be  scaled  up  through  other  instruments.  In  September  2017,  the  European 
Commission published a mid-term review [1] of what has been achieved so far in delivering the European Agenda on Migration. The 
delivery communication also sets out new initiatives from the Commission to address key areas and identifies where further efforts 
are needed in the following months. 

The 2017 GPGC migration programme has contributed to ensuring the implementation of the EU's overall migration policy agenda, 
in line with the European Agenda on Migration, and in particular under the Partnership Framework, the Valletta Action Plan and 
the migration goals and targets of the 2030 SDG Agenda.  

In 2017, coherent with migration being a key priority for the EU, the budgetary authority decided through an amending letter, to 
grant an additional EUR 356.7 million for the GPGC-Migration and Asylum programme for 2017, in support of the implementation 
of  the  Partnership  Framework  under  the  European  Agenda  on  Migration,  including  through  a  transfer  to  the  EU  Africa  Trust 
Fund, and specific support to key countries in Asia. For example, the thematic programme has contributed with EUR 90 million  to 
a  EUR  195.7  million  Special  Measure  for  "Addressing  migration  and  displacement  challenges  in  Asia  and  the  Middle  East:  a 
comprehensive  regional  EU  Response".  This  action  is  a  joint  thematic  and  geographic  effort  and  has  been  drafted  in  close 
consultation  with  relevant  EU  services.  It  addresses  short,  medium  and  long-term  challenges  posed  by  protracted  forced 
displacement and migration (including irregular migration, migration and development, legal migration, migration management). 

The 2017 programme also included support to the UN-led efforts to develop the two Global Compacts on migrants and refugees 
respectively,  including  for  expanding  consultations  with  developing  countries  and  research,  as  well  as  continued  support  for  the 
roll-out of the recently adopted EU development-led approach towards forced displacement.  

The  project  Support  to  the  Silk  Routes  partnership  for  Migration  under  the  Budapest  process,  co-funded  under  the  GPGC 
migration  programme  and  implemented  by  Hungary  in  the  period  2014-2017,  has  been concluded  in  July  2017. The  project  has 
helped  raise  awareness  on  the  need  for  addressing  various  challenges  related  to  migration  and  forced  displacement  in  the  Silk 
Routes countries (Afghanistan, Pakistan, Bangladesh, Iraq and Iran) and has laid strong foundations for the regional understanding 
and  trust-building  as  well  as  capacity  building  at  national  level.  The  project  played  a  key  role  in  establishing  a  regional 
understanding of migration and forced displacement challenges and developing a regional response to address them through regular 
meetings, contacts and consultations. One of the major achievement under the project was an EU-funded pilot Initiating Regional 
Law Enforcement Cooperation – Silk Routes Region and Turkey (RELEC) which established the foundations of trust and mutual 
understanding among the regional partners as well as the guiding principles for such cooperation that will have to be continued and 
furthered.  A  number  of  initiatives  launched  under  the  programme  will  be  followed  upon  automatically  in  the  project  Improving 
Migration Management in the Silk Routes Countries launched in August 2017.  

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2.2. Civil Society Organisations and Local authorities (CSO-LA):  

The  2014-2017  programmes  have  built  on  the  programme’s  added  value,  namely  its  focus  on  strengthening  Civil  Society 
Organisations and Local Authorities to take a  more  active part in the definition and implementation of development policies and 
related  initiatives  on  the  ground,  creating  synergies  and  complementarity  with  the  more  activity-oriented  actions  of  the  other 
thematic or geographical instruments. 

In 2017, more  than 225 new actions were deployed under the 3 components of the CSO-LA Programme (68% under CSO, 21% 
under  LA  and  11%  under  the  Development  Education  Awareness  Raising  (DEAR)  programme,).  While  DEAR  projects  are 
carried out in all Member States of the EU, a larger part of these new initiatives (200) supported CSOs and LAs in the ground –for 
CSOs in more than 50 countries and in more than 40 countries for LAs, ensuring the actual global coverage of the programme. 

The  signature  of  Framework  Partnerships  Agreements  (FPAs)  with  CSOs  and  Associations  of  Local  Authorities  concretely 
implemented the EU shift of policy to support such partners more as actors of governance than providers of assistance. PFAs also 
enable  a  more  efficient  and  sustainable  way  of  supporting  financially  such  partners.  Five  comprehensive  FPAs  with  global  and 
regional networks of LAs (ALAs) were signed in 2015 for a 6 years' duration, until the end of 2020, while FPAs with 23 inclusive 
global and regional networks of CSOs were signed in 2016 for duration of 4 years.  

The  EU  roadmaps  for  engagement  with  civil  society  in  developing  countries  (validated  by  the  Council  through  the  2012 
Communication) have given a thorough analysis of civil society in each country in the world, a common analysis of priorities for 
the EU and an assessment of the impact of actions taken or to be taken, in particular regarding the CSO-LA budget line; 105 such 
roadmaps  were  signed  from  2014  to 2016.  A  comprehensive  report on  the  evaluation  of  the  process  on  the  exercise  is  available 
since December 2016. The conclusions of this report are the seven reasons  why Roadmaps matter included on the Info Note EU 
Country Roadmaps mentioned in point II.3 below. 

Adopted  by  the  EC  on  15  May  2013,  the  Communication  “Empowering  Local  Authorities  in  partner  countries  for  enhanced 
governance and more effective development outcomes” commits the EU to promoting territorial development. This is now being 
reflected in the programming cycle of both the Thematic and Geographic lines of EU development cooperation. 

In  order  to  facilitate  the  promotion  of  a  Territorial  Approach  to  Local  Development  within  EU  supported  programs  (bilateral 
support and CSO-LA thematic line), DEVCO has produced two sets of complementary “analytical and operational” guidance notes 
that are being used to formulate programmes.454  

3.  Pan-African  programme:  The  Pan-African  programme  is  helping  build  up  the  overall  capacity  of  African  Union  (AU) 
institutions,  bridging  the  gap  with  international  standards.  It  also  provided  support  to  the  work  of  the  AU  in  a  number  of  fields 
including  statistics,  elections,  energy,  transport,  water  and  migration  management;  and  support  to  African  intergovernmental 
networks active on financial governance (taxation, audit, parliamentary oversight, budget). 

The  EU  is  also  transferring  technologies  and  know-how  to  African  partners.  Examples  include  satellite  technologies  such  as 
Copernicus or the European Geostationary Navigation Overlay Service (EGNOS), or geological mappings.  

On migration, PanAf finances one EUR 17.5 million project to support the various policy dialogues with Africa (Khartoum and 
Rabat  Processes,  AU-EU  continental  dialogue).  This  allowed  for  an  efficient  support  to  the  Valletta  Summit,  and  follow-up 
activities.  

In  2017,  PanAf  contributed  to  the  objectives  of  the  newly  established  External  Investment  Plan  through  a  EUR  70  million 
contributions to the African Investment Facility for cross-regional infrastructure projects, and support to the business environment 
in the fields of ICT, aviation, customs, and via a contribution to the African Legal Support Facility which provides legal resources 
to African governments.  

Evaluations/studies conducted 

The DCI mid-term review report (MTR) SWD (2017) 600 final confirmed the following: 

The DCI remains overall relevant and fit for purpose, both when it was adopted and at the mid-point of its implementation. It is 
broadly  in  line  with  new  policy  documents  (e.g.  the  new  European  Consensus  on  Development  and  the  2030  Agenda  for 
Sustainable Development) although implementing certain priorities could be difficult in its current format. It has largely been able 
to respond to new challenges that have arisen (e.g. the migration crisis); and has for the most part responded to beneficiary needs 
although they can place a different weight on EU values/global agenda. 

Concerning  effectiveness,  while  bearing  in  mind  the  difficulties  in  measuring  development  progress  due  to,  for  example,  the 
number  of  other  actors  contributing  to  the  same  or  similar  goals,  the  DCI  appears  to  be  largely  on  track  to  deliver  on  its 
commitments.  Countries  receiving  the  bulk  of  DCI  assistance  are  showing  signs  of  poverty  reduction.  Data  on  results  is 
nevertheless  limited  for  2014-2017  and  because  monitoring  and  evaluation  at  instrument  level  was  not  well  defined  in  the  DCI 
Regulation and systems are not always in place to ensure proper follow up. 

454 “Supporting decentralisation, local governance and local development (DLGTD) through a territorial approach”: 
https://ec.europa.eu/europeaid/sites/devco/files/mn-bb-16-005-en-n.pdf.; "Providing EU budget support in decentralised contexts": 
https://ec.europa.eu/europeaid/sites/devco/files/budget_support-web-final.pdf ; “Integrated Decentralisation Diagnostic Framework” (IDDF) toolset applied in 
Uganda, Ghana, Tanzania, Honduras and Timor Leste as a basis for the development of concept notes and identification/formulation of programmes. 

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The  DCI's  principles  of  differentiation  and  graduation  have  intentionally  left  a  gap  in  the  instrument's  ability  to  cooperate  on 
poverty  with  Upper  Middle  Income  Countries  through  bilateral  cooperation.  As  situations  in  those  countries  may  call  for  such 
support  (e.g.  due  to  the  persistent  presence  of  poverty,  inequalities  and  post-crisis  situations),  the  thematic  and  regional 
programmes were expected to meet this gap but this was not always the case. 

The DCI is  generally efficient  when looking at organisational performance but some of  its  users  still view it as administratively 
burdensome. The EU and the DCI's added value are apparent through a number of factors such its independent/supranational status 
and its ability to lead on joint actions with Member States. There is some, often anecdotal, evidence of coherence existing between 
the different components of the DCI, and with the other External Financing Instruments. 

When  it  comes  to  leveraging  funds,  the  DCI  has  seen  significant  results,  however,  the  outcomes  appear  less  positive  on  the 
instrument's ability to support political and policy leveraging. 

Some specific evaluations concerning the DCI are presented below. 

1. Geographic programmes  
Asia:  The  bilateral  Country  Evaluation  with  Pakistan  (2007-2014)  was  finalised  in  2017.  A  full  report  can  be  found  under  the 
following link: https://ec.europa.eu/europeaid/strategic-evaluation-eu-cooperation-pakistan-2007-2014-0_en. The bilateral Country 
Evaluation  with  Afghanistan  has  been  finalised  and  the  final  report  will  be  available  in  early  March  2018.  The  Budget  Support 
Evaluation with Cambodia has been finalised and the presentation of results and recommendations will take place in Phnom Penh 
on 2 March 2018. 

Latin America: The evaluation of budget support operations in Paraguay during the period 2006 – 2014 was formally finalised in 
January 2017 and published on 24 February 2017. The evaluation concluded that budget support largely achieved its objectives and 
had a positive impact in the country, in particular in relation to the increase in social spending and the improvements in the design 
and  implementation  of  public  policies  in  education  and  social  protection.  Its  influence  on  the  strengthening  of  public  financial 
management was more moderate although the progress made in this field would have been undertaken more slowly or not at all in 
absence of such a kind of support.  The recommendations made in order to improve the efficiency and effectiveness of current  and 
future  budget  support  operation  in  relation,  for  example  to  technical  assistance  and  policy  dialogue,  were  carefully  followed-up 
during 2017 and will continue to be during 2018.   

South Africa: No less than  five evaluations of DCI-funded actions in South  Africa  took place in 2017.  Two programmes  were 
subject  to  a  final  evaluation:  the  Primary  Education  Sector  Policy  Support  programme  and  the  Programme  to  Support  Pro-Poor 
Policy Development.  The evaluations recognised the good results achieved in primary education, such as the national roll-out of a 
compulsory  year  of  Reception  grade,  and  acknowledged  the  support  provided  to  the  Government's  pro-poor  vision.    Mid-term 
reviews of three other actions (Primary Health Care Sector Policy Support Programme, Infrastructure Investment Programme for 
South  Africa,  National  Development  Support  programme)  pointed  to  the  programmes'  relevance  and  made  specific 
recommendations to improve some aspects of the programmes.  

2. Thematic programmes 

2.1 Global Public Goods and Challenges (GPGC) : 
The main conclusions of the external DCI evaluation report for 2014-mid 2017455 regarding the GPGC are summarized below: 

Positive messages: 

  GPGC is highly relevant and coherent with stated EU policy objectives. It builds on a longstanding EU tradition of providing 
transversal  thematic  instruments,  satisfying  the  need  to  focus  strategically  on  core  EU  priorities,  to  have  a  flexible  tool  to 
complement geographic interventions or to target actors that could otherwise not easily be reached.  

  The EU adds value as a major supporter of global public goods  –particularly in terms of strengthening global frameworks, 

providing critical sources of funding for global initiatives and engaging in multi-country initiatives. 

  While  the  EU  has  increasingly  taken  on  board  lessons  of  the  DCI  2007-2013  regarding  the  importance  of  adopting  a 
“partner-led and demand-driven” approach over a longer period of time to achieve sustainable results456, commitment and 
resources of partner governments to tackle global challenges like climate change and environment often remain limited. As a 
result, the GPGC programme has provided a valuable complement to geographic bilateral programmes. 

  Provision of specialised expertise is a clear added value of the GPGC programme.  GPGC has allowed the EU to establish 
mutual  interest-driven partnerships  with countries that have graduated  to high-income  status and are no longer eligible for 
ODA.  
In several policy domains the GPGC has leveraged significant resources through blending. 

 
Areas for improvement: 

  Ensuring stronger alignment with the new global policy agenda and new EU priorities. 
 

Increasing efficiency: although the creation of GPGC (merging four of the five previous thematic programmes) was a major 
initiative to improve DCI efficiency, the actual efficiency gains have so far been modest.  

455 https://ec.europa.eu/europeaid/draft-evaluation-report-external-financing-instruments-development-cooperation-instrument-dci_en 
456 Thematic evaluation of the EU support to environment and climate change in third countries, p. ii. 

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  Developing  more  and  better  multi-actor  partnerships  (particularly  deepening  relations  with  the  private  sector  and  local 

authorities).  

  Enhancing coherence and complementarity between the geographic programmes and GPGC. Decision-making on GPGC is 
highly centralized at EU  headquarters. Consultation  with  geographic desks and EUDs  has not been  sufficient to  guarantee 
consistency and promote complementarity.  

  Effective  mainstreaming  of  EU  priorities:  There  has  been  insufficient  progress  in  mainstreaming  democracy  and  human 
rights, including gender. There has been progress in mainstreaming climate change and environment, although the degree of 
their integration is not commensurate with the gravity of the challenges faced.  

  Promoting domestic resource mobilization. The DCI regulation attaches great importance to national resources, particularly 

government fiscal resources. However, this has so far received relatively limited attention in EU response strategies. 

2.2 Civil Society Organisations and Local Authorities (CSO-LA): 

In  ‘The  roots  of  democracy  and  sustainable  development:  Europe’s  engagement  with  Civil  Society  in  external  relations" 
(COM(2012)492) it was stated that the EU and its Member States should develop country Roadmaps for engagement with CSOs, to 
improve  the  impact,  predictability  and  visibility  of  EU  actions,  ensuring  consistency  and  synergy  throughout  the  various  sectors 
covered by EU external relations. 

To date, 107 Country Roadmaps, have been finalised and are being implemented through multi-faceted policy dialogue, operational 
support to CSOs and various researches. In some EU Delegations, Roadmaps have been updated into a second generation of actions 
to guide their engagement until 2020. 

The conclusions of the comprehensive report are highlighted on The Info Note EU Country Roadmaps for engagement with Civil 
Society457. The Info Note gives seven reasons why Roadmaps matter together with numerous examples of the use of Roadmaps in 
many countries around the world. A summary of these seven reasons with some examples: 

  An  integrated  approach  among  EU  actors:  in  75%  of  the  RMs,  MS  participated  in  the  Roadmap  elaboration  process  (e.g. 
Burkina Faso: good knowledge sharing between Member States; Israel: improved coordination meetings between Delegation 
and Member States; Senegal: France took the lead in the elaboration of the 2014 roadmap; Cambodia, Senegal: key “building 
blocks” in EU joint programming); 

  A strengthened and more inclusive dialogue with CSOs: 50% of the RMs shows an intense level of consultation with CSOs 
(e.g. Ecuador: the Roadmap is fully co-owned by the EU and the civil society and provided spaces for a regular dialogue); 
  Reinforcing EU commitment to promote an Enabling Environment: promotion of fundamental rights and freedoms (including 
HR defenders) (e.g. Somalia), better use of EU leverage to open up dialogue spaces (e.g. Cambodia, Ecuador), key question of 
financial sustainability of CSOs; 

  EU as a broker facilitating CSO involvement in domestic policies: raise awareness of public authorities about CSOs ; support 
to the participation of CSOs in national and sectoral  policies and reforms; support to public accountability and CS watchdog 
roles ; promotion of a stronger role for CSOs in discussions on sustainable growth); 

  Reinforcing mainstreaming efforts into policy sectors: more strategic support to capacity development (e.g. Palestine) ; support 
to  formal  and  informal  networking  of  civil  society  alliances  and  platforms;    reinforce  partnerships  between  local  CSOs  and 
civil society coordination;    strengthening civil society’s internal governance systems; 

  Reinforcing  mainstreaming  efforts  into  policy  sectors:  increase  civil  society  involvement  in  budget  support  schemes  and 
programmes (e.g. Tunisia for health; India for justice; Timor Leste for governance and rural development); closer cooperation 
between political and operational sections; 
Innovation of funding modalities and overcoming the instrument-driven approach: a more strategic and long-term approach to 
civil society support; ensure the strategic alignment of the different EU programs and instruments. 

 

In that sense, the independent DCI evaluation highlighted the importance of the strong emphasis the CSO/LA programme has on 
improving  governance  and  strengthening  the  rule  of  law  by  engaging  civil  society  and  work  on  Civil  society  roadmaps  by  EU 
delegations. 

3. Pan-African programme: 

The  DCI  external  evaluation  considers  that  the  introduction  of  the  Pan-African  Programme  has  proven  to  be  relevant.  It  filled  a 
critical gap in the strategic partnership between Africa and the EU, particularly to cover activities of a trans-regional, continental 
and  global  nature  in  and  with  Africa,  and  complements  activities  funded  through  the  European  Development  Fund  (EDF)  at 
national  and  regional  levels.  It  has,  for  example,  played  a  significant  role  in  promoting  migration  dialogue,  allows  for  capacity 
building at the African Union and for establishing linkages between North Africa and the rest of the continent'. The evaluation also 
confirms the added value of the EU compared to other actors lacking supranational status. The evaluation identified risks related to 
the lack of institutional capacity of the AU and to its limited ability to translate its continental activities into Member State level 
policies and actions. 

Future implementation (2018-2019) 

1. Geographic programmes: 

458 The amount does not include a transfer of additional funds from the reserve, decision taken in the framework of the 2017 Mid-term Review 

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Latin America 
During  2018-2019,  the  DCI  will  contribute  to  new  projects  and  programmes  in  all  10  countries  benefitting  from  bilateral 
development  cooperation.  For  example  in  2018,  EUR  43  million  will  be  committed  for  a  second  "Support  Programme  to  the 
Education  Sector  Strategy  in  Nicaragua"  (or  PROSEN  II),  which  will  aim  at  improving  the  quality  of  secondary  education  in 
Nicaragua, particularly in rural areas, and strengthen its linkages to the labour market so that youth about to join the labour force 
acquire the knowledge and skills needed to insert themselves effectively into the labour market.  Another example is the planned, 
EUR 19.6 million support programme to the “sustainable agriculture and food security” in Cuba. This programme is meant to 
strengthen  food  security  management  and  decision  making  capacities  by  introducing  innovative,  green  and  climate-resilient 
approaches  to  increase  production,  diversity,  efficiency  and  quality.  One  of  its  key  results  will  be  to  enhance  local  government 
capacities,  in  particular  in  the  most  affected  territories  in  the  aftermath  of  hurricane  IRMA  in  September  2017,  on  cross  cutting 
issues like territorial planning and strategic forecast as well as better linking farmers and cooperatives to local markets. 

At  sub-regional  cooperation  level,  in  Central  America,  EUR  20  million  will  be  committed  in  2018  for  a  "Fondo  Verde  para 
Centroamerica" (or Central American Green Fund), a new local investment window which will be implemented through calls for 
proposals,  and  which  will  seek  to  mobilize  public  and  private  investments  in  climate-related  activities  in  order  to  carry  out 
Nationally Determined Contributions (NDCs) in the region. In 2019, a new programme is planned in the strategic sector of security 
and rule of law. 

Finally,  during  2018-2019,  important  projects  will  also  be  adopted  under  the  regional/continental  envelope.   The  focus  will 
continue to be on fostering exchange of knowledge and expertise, investment promotion under grants-loans blending mechanisms, 
south-south  cooperation,  innovative  ways  to  work  with  graduated  countries  and  support  to  private  sectors,  as  well  as  addressing 
issues of EU and global concern such as climate change. 

Asia 
Development  cooperation  in  Asia  will  continue  to  have  a  strong  focus  on  least  developed  and  fragile  countries.  Particular 
emphasis will continue to be given to good governance and sustainable reforms. Enhanced focus will be given to job creation and 
sustainable, inclusive growth via promotion of investments. The development of the Private Sector will be key as it has a major role 
to play for sustainable economic development and growth. Climate change and sustainable environment will also remain high on 
the agenda, as well as migration/displacement and gender equality. Budget support will continue to be used where  feasible in line 
with the Aid effectiveness agenda. 

In line with the requirement of the Gender Action Plan II, gender mainstreaming will be further pursued in new programmes with 
the aim of reaching the target of 85% of all  new programmes being  gender sensitive  by 2020. In addition,  specific  programmes 
promoting gender equality may be designed when and where relevant, especially in countries  where Mid-term Review identified 
such possibility and based on sound gender analysis.   

Budget  support  is  an  increasingly  important  type  of  aid  in  the  region.  Reflecting  this,  the  Commission  is  preparing  10  new 
programmes to be decided in 2019. Besides, several budget support programmes will continue their implementation in 2019 and 
particular  attention  will  be  given  to  the  follow-up  of  major  strategic  programmes  in  Afghanistan  (State  Building  and  Resilience 
Contracts), Vietnam (sector reform performance contract in energy) and education/TVET in Bangladesh 

As  regards  migration,  particularly  in  South/West  Asia  the  Commission  will  tackle,  among  other  things,  irregular  migration  and 
displacement through e.g. dedicated programmes focusing on Afghan returnees from Pakistan and Iran, and their reintegration in 
Afghanistan. Iran as host country of a massive influx of Afghan refugees also receives the Commission's support in its efforts to 
protect Afghan refugees in the country and increase their access to social services and livelihoods. At the pledging conference held 
in  Geneva  in  October  2017  the  EU  pledged  EUR  20  million  in  support  of  the  Rohingya  population  in  Bangladesh,  which 
substantially increased with the influx of around 650 000 between August and December 2017 and puts a strain the already limited 
services available in Bangladesh., EUR 15 million of the total pledge will benefit medium-term interventions, while EUR 5 million 
are allocated for humanitarian assistance.  

In Central Asia, renewed EU engagement in the region will be reflected in the new EU strategy for Central Asia. The EU will, in 
particular, support regional cooperation and integration efforts which are more likely to succeed due to the new Uzbek emphasis on 
fundamentally improving its relations with the countries in the region. Regional cooperation efforts will be supported in the area of 
economic cooperation and increased regional trade but also in other areas such as disaster risk reduction cooperation, cross border 
cooperation on water issues and on security issues. 

South Africa 
The EUR 20 million 2018 annual action programme (AAP) is expected to consist of two actions: 

1)  an action focusing on gender equality and resilience (EUR 10 million provisionally allocated). 
2)  a programme to support the restructuring of the wines and spirits sector (EUR 10 million allocated). 

Whilst  gender  equality  is  a  cross-cutting  issue  that  is  reflected  in  all  DCI-supported  actions  for  the  benefit  of  South  Africa,  a 
renewed emphasis on gender equality and women empowerment has prompted the design of an action entirely devoted to this 
issue.  The specific objectives are under discussion. 

The  aim  of  the  support  to  restructuring  of  the  wine  and  spirits  sector  in  South  Africa  is  to  promote  economic  growth  and 
employment generation along the entire supply chain the sector. The allocation represents part of the EUR 15 million foreseen to 

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fulfil  the  EU's  commitment  with  regard  to  the  implementation  by  South  Africa  of  the  EU-SA  agreement  on  geographic 
indications (GIs) in the wine and spirits sector (Annex X of the EU-SA Trade, Development and Cooperation Agreement). 

The  EUR  20  million  2019  AAP  is  likely  to  finance  actions  addressing  the  SA-EU  MIP's  focal  sector  'building  a  capable  and 
developmental state', the 'employment creation' focal sector and possibly support additional policy dialogues. 

2.  Thematic programmes 

2.1 Global Public Goods and Challenges (GPGC) : 
In  line  with  the  2030  Agenda  for  Sustainable  development  and  the  European  Consensus,  the  programme  will  seek  to  more 
systematically integrate and balance the economic, social and environmental dimensions of sustainable development in the future 
implementation  of  the  GPGC.  Across  its  five  action  areas,  it  will  aim  to  promote  sustainable  investments  and  job  creation,  to 
strengthen state and societal resilience, to address irregular  migration and forced displacement and to contribute to sustainability 
and  security.    As  per  the  recommendations  of  the  Mid-Term  review,  more  attention  will  be  given  to  promote  interlinkages  and 
cross-sectoral  action  at  the  nexus  between  different  action  areas  that  can  contribute  to  multiple  SDGs;  and  to  enhance 
complementarity, coherence and synergies between thematic and geographic programmes. 

Environment and Climate Change 
Funds  from  the  DCI  Budget  2018  and  2019  will  continue  to  support  the  implementation  of  the  2030  Sustainable  Development 
Agenda, in particular SDG 13 on Climate action, focusing on the following priorities: 

The  Global  Climate  Change  Alliance+  (GCCA+)  as  a  thematic  flagship  initiative  will  continue  to  facilitate  the  transition  to  a 
climate resilient low-carbon future through  
 
 

continuing the policy dialogue with partners;  
supporting  their  efforts  to  implement  the  Paris  Agreement  and  other  UNFCCC  outcomes  (e.g.  National  Determined 
Contributions and National Adaptation Plans), including opening up to new sectors with a mitigation focus and linkages with 
private sector, sustainable finance and sustainable value chains; 
seeking closer cooperation and coordination with EU Member States; 

 
  maintaining the focus on the most vulnerable; 
 
 

paying special attention to involving research institutions, civil society and local authorities more actively; 
organising a special event in 2018 to celebrate the GCCA 10th anniversary. 

Support to the  implementation of  Nationally Determined Contributions (NDCs) will continue to be the priority for 2018-2019 
and onwards, as these national strategies include all climate actions foreseen at the country level, both for adaptation and mitigation 
purposes. 

Integrated  approaches  will  be  prioritised,  in  particular  around  landscape  management,  which  stands  as  a  central  element  for 
climate change adaptation and mitigation but also for agriculture and natural resources management. It will be proposed to develop 
a joint approach to support actions contributing to multiple objectives (climate change, environment,  food security and nutrition) 
while  using  different  implementation  modalities  (including  blending  where  possible).  A  few  pilot  actions  may  be  supported  in 
2018, the main call is planned to be launched in 2019. 

In  response  to  the  implementation  of  the  Paris  Agreement,  Reducing  Emissions  from  Deforestation  and  forest  Degradation 
(REDD+) will be pursued, with additional support from the DCI Budget to the EU REDD Facility. Aligning notably with SDG 14, 
the  FLEGT  Facility    (Forest  Law  Enforcement,  Governance  and  Trade)  will  also  continue  to  provide  expert  support  to  the 
implementation of the FLEGT Action Plan, notably on implementation of 6 Voluntary Partnership Agreements and negotiation of 9 
(2 of which could conclude in 2018), and on collaboration with important timber consumer markets like China. Impact monitoring 
and collaboration with private sector will be strengthened, and broader forest services (food security, livelihoods, energy)  will be 
enhanced. Funds for the forests  will aim at boosting the implementation of the concluded VPAs, in complement to geographical 
funds, and at developing innovative financing mechanisms to support the combat against deforestation.  

Funds  for  EU  Biodiversity  for  Life  (B4LIFE),  under  the  EU  action  plan  on  wildlife  trafficking,  will  enable  the  initiative  to 
continue focusing on the most fragile ecosystems and species in partner countries and addresses the Sustainable Development Goal 
15. In particular, the attention given to the fight against wildlife and conflict timber trafficking and by armed groups, and its impact 
on  the  security  of  vast  regions,  in  particular  in  Central  Africa,  in  Eastern  Africa,  in  the  Horn  of  Africa  and  in  Asia  will  be 
maintained. The main focus will be the contribution of the protection of ecosystems to the economic development, by their direct 
contribution (ecotourism…) or through ecosystem services (water provision, pollination…). In order to effectively and efficiently 
respond  to  this  threat,  a  comprehensive  study  analysing  the  inter  linkages  between  wildlife,  security  and  development  will  be 
finalised, including all stakeholders involved. Other policy studies to set out wildlife conservation priorities in Asia (Larger than 
Tigers) and Latin  America  (Larger than anacondas)  will be completed. They aim of defining a new  strategic approach to guide 
activities  aimed  at  biodiversity  conservation  and  sustainable  ecosystem  management.  Compiled  with  the  input  of  major 
conservation  groups  and  specialists,  they  are  an  example  of  best  practice  by  the  European  Commission  on  joint  action  for 
development cooperation. 

DCI  Budget  will  continue  funding  the  Switch  to  Green  flagship  which  supports  the  transition  to  the  inclusive  green  economy, 
through  policy  support  and  green  business  development.  New  budget  allocations  in  2018  and  2019  will  focus  increasingly  on 
access  to  finance  by  green  MSMEs,  in  line  with  lessons  from  previous  experience  which  show  that  the  issue  is  one  of  the  key 
constraints  slowing  down  the  uptake  of  green  practices  by  businesses,  and  in  line  with  the  External  Investment  Plan  (EIP) 

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framework. New allocations will also build on the strategic evaluation of EU international cooperation on Sustainable Consumption 
and Production (to be published early in 2018) and on relevant policy developments such as the adoption of a new  EU strategy on 
plastics which foresees action at global level to tackle issues associated to plastics such as the accumulation of waste in oceans. The 
SWITCH to Green facility, which extension was decided in 2017 with a new allocation from GPGC, will provide further resources 
to support coordination, knowledge development and communication efforts. 

The  2030  Agenda  requires  sustained  efforts  to  boost  environmental  sustainability  in  partner  countries  and  achieve  the  EU's 
objectives of allocating at least 20%  of its budget to climate relevant action by 2020 and doubling annual international financial 
flows  to  developing  countries  for  biodiversity  conservation.  In  2018-2019,  mainstreaming  efforts  will  increasingly  focus  on  the 
External  Investment  Plan  (EIP)  and  the  programmes  to  tackle  the  root  causes  of  migration  and  on  the  preparation  of  the  future 
programming exercise for geographic and thematic instruments, and a strong focus will be placed towards the implementation of 
the Paris Agreement. 

Water management: In line with the holistic approach of the Agenda 2030 to social, economic and environmental dimensions of 
sustainable  development,  the  "Nexus  Dialogues"  programme,  which  is  designed  to  strengthen  regional  policy  dialogues  on  the 
integrated uses of water, land and energy-related resources in different regions across the world, will continue to be funded in order 
to advance towards concrete outcomes. In addition, the transboundary water resources management aspect - aimed to shape a more 
coherent and effective EU foreign policy engagement in conflict prevention, by promoting dialogue and continued cooperation to 
contribute to peace and security - will be addressed through a number of ongoing projects, including a new project in the Senegal 
River basin. 

Sustainable  energy  On  Sustainable  Energy,  the  2018  and  2019  Budget  will  continue  supporting  actions  contributing  to  the 
achievement of SDG 7 (ensure access to affordable, reliable, sustainable and modern energy for all by 2030) as well as to SDG 13 
on Climate action.  
The  objective  to  contribute  to  poverty  reduction  through  achieving  improved  access  to  energy  services  and  increased  renewable 
generation capacity will be focused on promoting  energy efficiency and access to sustainable energy through effective policies 
and  regulations  based  on  accurate  data,  exchange  of  best  practice,  transfer  of  knowledge,  expertise  and  technologies  and  skills 
development, improved performance of energy utilities, capacity building of local stakeholders and investments. 

Efforts  will also be geared towards  building or strengthening existing strategic partnerships and alliances to enhance policy 
dialogue and action coordination at the national, regional and global levels. 

Human Development 

Health and education The EU will support the implementation of the 2030 Sustainable Development Agenda, in particular SDG 3 
and SDG4, and will: 
 
 

continue to contribute steadily to the global initiatives, GFATM, GAVI and the Global Partnership for Education (GPE); 
continue to support the strengthening of health and education systems and fostering policy dialogue in these sectors in order 
to achieve Universal Health Coverage (UHC) and universal basic education. 
fund action to increase access to essential family planning supplies and maternal medicines in the world's poorest regions, 
in collaboration with the UN; 
help support  education opportunities  in fragile and crisis situations, by improving teaching and  learning, building stronger 
evidence of what works in crisis environments, and contributing to policy formulation and decision making in this area; 

 

 

With the above, the EU will contribute to the achievement of results specified in the results frameworks of key Global Initiatives 
GFATM, GAVI and GPE which include, among others, the  immunization of 300 million children (2016-2020),an increase of the 
pre-primary gross enrolment ratio in GPE beneficiary countries to 32.2%, a reduction of out of primary school children in fragile 
and conflict affected countries to 21.7%, an increase of countries with quality education policies and their implementation. Through 
continued  policy,  governance  and  financial  support  to  GPE  and  Education  cannot  Wait  (EcW),  the  EU  will  during  2018/2019 
maintain its focus on addressing the learning crisis, providing improved quality and access to education in particular in LICs and in 
countries affected by crises. 

Gender  Equality  and  Women's  Empowerment  In  2018  and  2019,  the  reports  on  the  implementation  of  the  Gender  Action  Plan 
(GAP) respectively in 2017 and 2018 will be prepared and published. The consistent gender sensitive policy and political dialogues 
–through the GAP implementation- should lead to an improvement in the outcomes of development cooperation programmes for all 
partner  countries’  potential  beneficiaries:  women  and  men,  boys  and  girls.  At  the  same  time,  in  2018  and  2019,  the  EU  will 
continue investing in efforts to  breaking the vicious cycle of gender discrimination, supporting partner countries to establish a 
more  enabling  environment  for  the  fulfilment  of  girls’  and  women’s  rights  and  to  achieve  real  and  tangible  improvements  on 
gender equality. Apart from starting the implementation of the projects selected from the call on sexual and gender-based violence 
in  developing  countries  (especially  in  fragile  situations  like  forgotten  crisis  situations),  in  2018  the  Commission  will  focus  on 
fostering the rights of women and girls to a life free from violence through the identification and implementation of the  Spotlight 
Initiative, a Multi-Donor Trust Fund which is going to be implemented by the United Nations in all regions, tackling specific kind 
of violence against women and girls, like femicide in Latin America, Domestic violence in Caribbean and Pacific regions, sexual 
and gender based violence (including sexual and reproductive health and rights and harmful practices) in Sub-Saharan Africa, and 
human beings trafficking and modern forms of slavery for domestic workers in Asia. The Spotlight Initiative will have a budget in 
the order to EUR 500 million to be committed in the period 2017-2020.   

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Promotion of child well-beingFrom 2019 priority will be given to access to justice for children through the strengthening of child-
friendly justice systems, considering that knowledge, capacities and systems are very weak in many countries. A specific focus will 
be  put  on  supporting  alternative  sentencing  through  proposing  alternatives  to  detention  solutions  for  children,  in  alignment  with 
their best interests, with a specific focus on children in migration. A second priority will be put on the overall effort towards quality 
care and protection of children from violence and exploitation (children victims of trafficking, child labour; violence at schools, 
and  at  home)  through  the  strengthening  of  child  protection  systems  worldwide  at  all  levels  (local,  national  regional),  promoting 
their voice and participation.  

Culture  Planned  cultural  activities  will  aim  at  enhancing  the  cultural  dimension  of  our  development  action,  focusing  on  cultural 
pluralism and intercultural understanding, the socio-economic contribution of the cultural industries and the impact of cultural 
heritage  on  inter-communities  dialogue,  citizenship  and  identity  building.  The  programmes  supported  will  tackle  also  aspects 
relating  to  freedom  of  religion  or  belief,  peacebuilding  and  enhancing  social  inclusion  and  social  cohesion,  notably  of 
vulnerable and disadvantaged populations living in countries with fragile situation. 

Employment, decent work, skills, social protection and social inclusion The programme 2018-2020 will continue to support social 
protection through increased performance and domestic financing of social policies to reduce poverty and inequalities. It will aim at 
strengthening national efforts to establish more effective, adequate and sustainable  social protection schemes in low and middle 
income  countries  and  to  moving  progressively  cash-based  humanitarian  aid  into  long  term  social  protection  perspectives  in 
countries  in  crisis.  This  action  will  contribute  to  achieve  SDGs  1,  3,  5,  8  and  10.  Further  efforts  will  also  be  made  to  continue 
promoting decent work, and increasing the employability of young people, in particular through VET and in connection with the 
EIP. 

Growth, jobs and private sector engagement 
Within AAP 2018, 2019 and 2020, under this component, the programme will be guided by the following objectives: 

  Support to Private Sector for Development and to leveraging sustainable private investments. 
  Promotion of trade for sustainable development and the upgrading of value chains.  

More specifically, actions shall aim at promoting the role of the private sector as a key developmental actor, notably by supporting 
an enabling business environment and investment climate, conducive to private  sector initiative and engagement into sustainable 
value chains, to foster growth and decent job creation. These actions will  be aligned with the strategic priorities of Agenda 2030, 
the  new  European  Consensus  for  Development  and  the  EIP.  Particular  attention  will  be  paid  to  supporting  youth  and  women 
entrepreneurship,  MSMEs,  access  to  new  technologies,  digitalisation,  financial  inclusion,  private  sector  development  and 
engagement in fragile states and LDCs and implementation of the revised Aid for Trade Strategy.  

Food security, nutrition and sustainable agriculture 
Funding for this programme over 2018-2019 will address multiple global challenges including food insecurity, food emergencies, 
under-nutrition,  climate  change,  degradation  of  ecosystems  and  depletion  of  land,  water  and  other  natural  resources,  agricultural 
transformation, urbanisation, migration, price volatility and transboundary pandemic diseases. As rural women are key actors in the 
production,  processing,  marketing  and  as  well  as  in  maintaining  household  nutrition  security,  special  attention  will  be  paid  to 
improve  women’s  access  to  resources  and  to  guarantee  their  equal  rights.  The  programme  adds  value  to  the  support  provided 
through geographical programmes in more than 60 developing countries.  

This  objective  is  in  line  with  the  EU  policy  commitments  taken  in  2010  on  addressing  food  security  challenges,  in  2011  on 
sustainable agriculture and food security, in 2012 on resilience and in 2013 on nutrition, and will focus on enhancing the incomes 
of  smallholder  farmers,  the  resilience  of  vulnerable  communities  and  on  helping  partner  countries  reduce  the  number  of  stunted 
children  by  7  million  by  2025.  The  objective  is  also  completely  in  line  with  the  Sustainable  Development  Goal  2  'End  hunger, 
achieve food security and improved nutrition, and promote sustainable agriculture'. 

Actions will: 
 

bring innovation processes at smallholder level by scaling up science-based changes in a 'last mile' spirit; these will achieve the 
potential on growth and job creation of a climate change relevant agriculture; 
strengthen  and  promote  governance  and  capacities  for  food  and  nutrition  security  at  the  global,  continental,  regional  and 
national level, for all relevant stakeholders, including the private sector, with a strong gender dimension; 
address how to leverage the private sector to achieve inclusive and sustainable agricultural growth and development impact for 
the most in need; 
support the Global Control and Eradication Strategy of the "peste des petits ruminants"; 
build  the  resilience  of  vulnerable  communities  by  better  targeting  the  root  causes  of  food  insecurity,  while  ensuring  the 
complementarity between instruments for high-impact aid in the framework of the development-humanitarian-security nexus. 

 

 

 
 

Migration and asylum 
Within the framework of the European Agenda on Migration, and in particular under the Partnership Framework and the Valletta 
Action  Plan,  the  2018-2019  programme  will  contribute  to  ensuring  the  implementation  of  the  EU's  overall  migration  policy 
agenda, in line with the migration goals and targets of the 2030 SDG Agenda. The 2018-2019 programme will include continued 
support to the key partner regions and countries under the Partnership Framework, in close coordination with geographic funding 
instruments,  notably  the  EU  Trust  Fund  for  Africa,  and  specific  support  to  key  countries  in  Asia.  The  programme  also  includes 
support for the continued roll-out of the EU development-led approach towards forced displacement. In addition, the programme 
will include further investments in strengthening the evidence- base and data on the migration-development nexus. 

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2.2 Civil Society Organisations and Local Authorities in development (CSO-LA) : 
A  first  Multiannual  Indicative  Programme  (MIP)  covered  the  period  2014-2017.  Therefore,  a  new  Multiannual  Indicative 
Programme  (MIP)  for  the  period  2018-2020  is  being  prepared.  This  new  MIP  will  propose  a  solid  evolution  of  the  priorities  in 
order to face a changing international context and to align it with newly adopted policies (e.g. Agenda 2030, New Consensus on 
Development). The overall objective  of the  Programme remains the same, as defined  by the  DCI  Regulation, to strengthen civil 
society  organisations  and  local  authorities  worldwide.  However,  it  will  translate  into  strategic  orientations  the  EU  commitments 
made in the  new  EU  Consensus on Development,  in particular regarding the role of CSOs as actors of  governance  in their own 
right, the  necessary active involvement of regional and  local authorities in "localising the SDGs", as  well as raising  the level of 
engagement  with  citizens.  It  will  also  promote  a  new  approach  towards  local  authorities  supporting  them  as  key  actors  in 
addressing urban challenges. Partnerships with European cities (twinning) as well as triangular cooperation will be at the heart of 
this new approach. 

Concerning the CSO component of the Programme, new initiatives will: 
 
 

develop EU relations with foundations working on development via ad-hoc partnerships with networks of foundations;  
complement EU's efforts to mainstream  the  reduction of inequalities in development cooperation, supporting civil  society in 
their advocacy role for the implementation of the 2030 agenda at country and global levels; 
support youth, as a follow-up of the 5th EU- African Union Summit, through civil society networks including actions to prevent 
radicalisation; 
support CSOs as actors of governance (focusing on their participation, their enabling environment or their capacity building); 
support CSOs as service providers on key priorities where CSOs complement other actors. 

 

 
 

In the case of Local Authorities, the programme will include two areas of engagement: 
  Strengthening  local  authorities  as  actors  of  governance  to  further  increase  the  impact  of  LAs  and  Associations  of  Local 
Authorities  (ALAs)  on  policy-making  processes,  good  governance  and  general  development  outcomes,  focusing  on  the 
national level on the one hand, and on the regional and global levels on the second hand. Continued support for a strengthened 
partnership with LAs and ALAs to allow them to play their legitimate role and provide their members with adequate services 
as well as concretely represent the needs of local communities in institutional dialogues is foreseen. 

  Supporting  cities  in  "localising  the  SDGs"  to  support  LAs  –including  branches  of  government  or  municipal  and  district 
authorities,  to  address  urban  challenges  and  to  localise  the  SDGs.  Effective  support  to  urbanisation  requires  different 
modalities and responses depending on the specific circumstances and urbanisation challenges. In megacities and metropolitan 
areas,  which  typically  present  the  most  visible  challenges  of  over-crowding,  poor  services  and  inequality,  the  focus  is  on 
creating wider, inclusive growth and local jobs, by enabling them to become regional hubs and attract investments. In the case 
of secondary cities, where the challenges relate to spatial inequalities, the focus is on territorial planning and socio-economic 
interaction with primary cities on the one hand, and with rural and productive areas on the other hand, reinforcing the primary-
secondary and urban-rural linkages, using bottom-up multi-actor approaches (Territorial Approach to Local Development). 

Moreover,  under  the  support  measures,  a  facility  to  support  EU  Delegations  working  on  decentralisation,  local  governance  and 
local development through a territorial approach will be implemented. 

Regarding the DEAR programme, a Call for Proposals (CSO/LA) will be launched in 2018; apart from the Call for Proposals, the 
DEAR programme will feature a few specific projects:  
  DEAR  Support  Team  (DST)  implementing  capitalisation,  capacity  building  and  networking  for  DEAR  Stakeholders,  and 

DEAR projects in particular;  

  Global  Education  Network  Europe  (GENE)  ensuring  networking  and  policy  development  in  the  field  of  Global  Education 

 

between European states / European governments;  
iLegend  –a  targeted  project  implemented  by  the  North-South  Centre  (NSC,  part  of  the  Council  of  Europe)  to  strengthen 
global/development education in EU Member States; 

  Presidency Projects to draw the attention of the public and decision makers to development issues. 

 3. Pan-African: 
The actions to be adopted in 2018 will be based on the Multi-annual Indicative Programme (MIP) 2018-2020 of the Pan-African 
programme, currently under elaboration. On the basis of the lessons learned from the MIP 2014-2017, we can expect a number of 
actions in the  fields of  governance, including further support to  migration  management and to the  African Union, knowledge 
and skills to improve the employability and  mobility of  young people and of continental economic  integration,  seeking to foster 
connectivity, harmonisation of policies and regulations and more integrated markets. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) No 233/2014 of the European Parliament and of the Council of 11 March 2014 
establishing a financing instrument for development cooperation for the period 2014-2020 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

19 661,6 

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2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Of which contribution to Erasmus+ 

99,9 
2 243,0 
2,1 
2 345,0 
96,0 

78,2 
2 367,3 
1,9 
2 447,4 
91,9 

83,9 
2 549,5 
2,2 
2 635,6 
107,3 

85,0 
3 063,4 
2,6 
3 151,0 
111,6 

86,1 
2 887,5 
2,5 
2 976,0 
104,9 

87,6 
3 068,2 
2,5 
3 158,3 
101,1 

88,2 
3 161,7 
2,5 
3 252,4 
101,9 

Total 
Programme 
609,0 
19 340,5 
16,3 
19 965,8 
714,8 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

3 151,005 

100,00 % 

1 819,891 

99,21 % 

2 976,620 

10,67 % 

2 094,552 

18,31 % 

Authorised appropriations (*) 

3 192,358 

99,47 % 

1 897,516 

96,34 % 

3 001,065 

10,62 % 

2 168,184 

18,02 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from  assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Poverty reduction and fostering sustainable economic, social and environmental development*. 
*Actions  aiming  to  mitigate  climate  change  and  adapt  to  its  effects  are  an  integral  part  of  the  programming  for  the  2014-2020 
period and the percentage of the contribution to mainstreaming of climate action is expected to reach the 20% target seen over the 
full 2014-2020 period.  

803,7 

748,5 

Methodology for calculation of the amounts: For 2014 and 2015, the information is based on the OECD DAC CRS file, and has 
been quality checked by DG DEVCO. The annual estimates for 2016-2020 are based on the Financial Programming data for 2014-
2020  for  each  of  the  DCI  budget  lines  as  follows:  for  geographic  cooperation  budget  lines  based  on  a  weighted  average  of  the 
percentages identified for the available RIPs and NIPs making up a budget line, while for the thematic budget lines based on the 
Rio-markable estimated potential of the GPGC MIP. CSO-LA was marked as not contributing to the 20% target. The methodology 
for 2016-2020 is therefore the same as the one applied in the Commission Staff Working Document on the MTR of the MFF 2014-
2020 COM(2017) 720 final and agreed with DG CLIMA. These figures are only estimates and do not take into account the 2016 
cut in the DCI Budget following the Syrian crisis. 

2014 
379,9 

2014 – 2016 
2015 
503,8 

2017-2018 estimates 

2016 
639,8 

2017 
682,5 

2018 
748,5 

2019-2020 programming 
2020 
2019 
837,2 
803,7 

Total 
2014-2020 
4 5954 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Contribution to financing biodiversity 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Poverty reduction and fostering sustainable economic, social and environmental development 

202.4 

215.6 

Methodology for calculation of the amounts: For the period 2014-2017, the amount taken into account as contributions to 
Methodology for calculation of the amounts: For the period 2014-2017, the amount taken into account as contributions to 
biodiversity and climate change objectives for each commitment is proportional to the RIO markers used. 
The use of RIO markers has been quality checked by DG DEVCO for the period 2014-2016, with support from the Environment 
and Climate Change Mainstreaming Facility. This control is consistent with the data reported to the OECD/DAC. For 2017 an early 
statistical estimate is provided based on final committed amounts at 31/12/2017. For the period 2018-2020 estimates are provided 
using  the  multi-annual  average  of  biodiversity  commitments  and  in  relation  to  the  doubling  target  as  per  the  Hyderabad 
commitment, and using the formula below. 

Methodology  for  calculation  of  the  2018-2020  amounts:  7.26  %  of  [operational  chapter  21  02  –  BL  21  02  40  Commodities 
agreements  –  BL 21 02  30  Agreement  with  the  Food  and  Agriculture  Organisation  (FAO)  and  other  United  Nations  bodies  – 
BL 21 02 20 Erasmus+ — Contribution from the development cooperation instrument (DCI)]. 

2014 
85 

2014 – 2016 
2015 
119 

2016 
101 

2017-2018 estimates 

2017 
229 

2018 
202.4 

2019-2020 programming 
2020 
2019 
222.3 
215.6 

Total 
2014-2020 
1, 1743 

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Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Gender mainstreaming 

Relevant objective/output 

Budget 2018 
(EUR million) 
1, 637.6 

DB 2019 
(EUR million) 
1,746.1 

Poverty reduction and fostering sustainable economic, social and environmental development 
Methodology  for  calculation  of  the  amounts:  58.8  %  of  [operational  chapter  21  02  –  BL  21  02  20  Erasmus+   -  BL  21  02  40  Commodities 
agreements – BL 21 02 30 Agreement with the Food and Agriculture Organisation (FAO) and other United Nations bodies]. The percentage is 
calculated based on the 2016 statistics on OECD, 40% of  gender marker  "1" (= gender equality is "significant objective" in the programme or 
project, meaning at least it has been mainstreamed) and 100% of gender marker "2" (= gender equality is "main objective" in the programme or 
project). 

4. Performance information 

General objectives 

General Objective 1: Fostering the sustainable and inclusive development in partner countries and regions and the promotion of 
democracy,  the  rule  of  law,  good  governance  and  respect  for  human  rights,  as  foreseen  in  the  TEU,  with  the  primary  aim  of 
eradicating poverty. 
Indicator 1: SDG 1.1.1 Proportion of population below international poverty line 

Baseline 1990**** 

2014 

2015 

Milestones foreseen 

2017 

2016 
Decreasing trend 
Actual results** 

2018 

2019 

Target 2020 

Zero poverty 
 (Target 2030***) 

47.7% (in developing 
regions)* 

11.6% (with 
the graduated 
countries) 
12.1 % 
(without the 
graduated 
countries 

9.9 % (with the 
graduated 
countries) 
11.5 % 
(without the 
graduated 
countries 

9.8 % (with 
graduated 
countries) 
11.5 % 
(without the 
graduated 
countries) 

9.6 % (with 
graduated 
countries) 
10.7 % 
(without the 
graduated 
countries) 
targets 

and 

2015 

nations 

poverty 

(statistical 

indicators, 

data,  Millennium  Development  Goals, 

*United 
http://mdgs.un.org/unsd/mdg/Host.aspx?Content=Data/snapshots.htm 
** Source of the data: World Bank (poverty rate); UN population division (population's weights). Indicator calculated on the basis of DCI eligible 
countries. The 2014 value was computed on country level data from 2012 or before, the 2015 value considers country level data from 2013 or 
before,  the  2016  value  considers  data  from  2014  before  and  the  2017  value  considers  data  from  2016  or  before.  All  values  since  2014  were 
updated with World Bank data extracted in November 2017 to consistently consider latest available data. 
*** 2030 is the target date set by world leaders for achieving Sustainable Development Goals (UN). 
**** Baseline taken from the previous MDG 1.1 Proportion of population below $1.25 (PPP) per day 
All DCI budget contributes to this SDG. 
Eradicating poverty in all its forms remains one of the greatest challenges facing humanity. While the number of people living in 
extreme poverty has dropped by more than half – from 1.9 billion in 1990, to 836 million in 2015 – too many are still struggling for 
the most basic human needs. Globally, more than 800 million people are still living on less than $1.25 a day; many lacking access 
to adequate food, clean drinking water and sanitation. Rapid economic growth in countries like China and India has lifted millions 
out of poverty, but progress has also been uneven. Women are disproportionately more likely to live in poverty than men due to 
unequal access to paid work, education and property. 

tables); 

Progress has also been limited in other regions, such as South Asia and sub-Saharan Africa, which account for 80 percent of the 
global  total  of  those  living  in  extreme  poverty.  This  rate  is  expected  to  rise  due  to  new  threats  brought  on  by  climate  change, 
conflict and food insecurity. Through to 2030, SDG 1 foresees a world where extreme poverty will have been eliminated, such as 
through social protection for all, access to land and economic resources, and their protection against the impacts of climate change 
and other economic, social and environmental disasters. 

Specific objectives 

Specific Objective 1: Poverty reduction and fostering sustainable economic, social and environmental development. 
Indicator 1: MDG 3.1: Ratio of girls to boys in primary, secondary, tertiary education 

Baseline 2012 

2014 

2015 

Primary level: 0.97 
Secondary education : 0. 
97 
Tertiary education: 0.99 

Milestones foreseen 

2017 

2016 
Linear increase 
Actual results 

2018 

2019 

Target 2020 

Primary level: 0.98 
Secondary education 
: 0. 98 
Tertiary education: 
1.01* 

Not yet 
available see 
comment 
below 

Not yet 
available see 
comment 
below 

Full parity 

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*Source:  MDG  Report 
Statistical  Annex 
http://mdgs.un.org/unsd/mdg/Resources/Static/Products/Progress2015/Statannex.pdf 
This estimate was calculated by the UN MDG team because it was the final year for the MDGs. In a "normal" year, we would not  have and will 
not have such estimate available. There’s a time lag of 3-4 years for data to be available at aggregate global level. This also implies that there will 
be no data available in 2017 for the year 2016. 
The new SDG 4.5.1 Parity indices will not be applicable before 3 to 4 years as no methodology has been set yet to provide figures. Therefore, we 
will continue using MDG 3.1 until new developments.  

2014:  Millennium  Development  Goals, 

Indicators, 

Targets 

2015 

and 

As  explained  under  section  5,  all  the  geographic  budget  lines,  GPGC  (with  its  Human  Development  component)  and  Pan  Africa 
contribute to SDG 4 

Indicator 2: MDG 2.2: Proportion of pupils starting in grade 1 who reach last grade of the primary, gender disaggregated 

Baseline 2011 

72.7%  
Girls: 73.84% 
Boys: 71.6% 

2014 

2015 

2016 

2017 
Linear increase 

2018 

Milestones foreseen 

2019 

Target 2020 

73.1 % 
Girls: 74.5% 
Boys: 71.8%* 

Actual results 

Not yet 
available 

Not yet 
available 

100% 

*These results are estimates calculated by the UN MDG Team provided for the Progress report of the MDGs being final in 2015. Updated results 
will be included in the Global Education Monitoring Report which is due for publication by the end of 2018. 
Source:  MDG  Report  Statistical  Annex  2014:  Millennium  Development  Goals,  Targets  and 
http://mdgs.un.org/unsd/mdg/Host.aspx?Content=Products/ProgressReports.htm 
The  new  indicator  SDG  4.1.1  "Percentage  of  children/young  people  at  the  end  of  each  level  of  education  achieving  at  least  a 
minimum  proficiency  level  in  (a) reading  and  (b)  mathematics.  (Disaggregation:  sex,  location,  wealth  and  others  where  data  are 
available)"  is  aligned  to  Target  4.1:  "By  2030,  ensure  that  all  girls  and  boys  complete  free,  equitable  and  quality  primary  and 
secondary  education  leading  to  relevant  and  effective  learning  outcomes."  However,  it  should  be  noted  that  this  indicator  is  not 
available yet: methodology not defined, no data. It will take 3 to 5 years before this indicator can be used according to UNESCO, 
which is leading on education SDG indicators. Baseline and targets to be set in the UN process. It is therefore recommended to use 
the old MDG indicators while waiting for the new indicator for SDG target 4.1.   

Indicators,  2014  &  2015 

As explained under section 5, all the geographic budget lines, GPGC (with its Human Development component) and Pan Africa 
contribute to SDG 4 
Indicator 3: SDG 3.2.1 Under-five mortality rate (deaths per 1,000 live births) 

Baseline 2013 

45.5 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Actual results 

43.7* 

42.2* 

40.8* 

Not yet 
available 

Target 2030 

25 per 1,000 live 
births 

* Baseline and Projected data obtained from http://apps.who.int/gho/data/view.main.CM1300R 
This indicator is aligned to Target 3.2: "By 2030, end preventable deaths of new-borns and children under 5 years of age, with all 
countries aiming to reduce neonatal mortality to at least as low as 12 per 1,000 live births and under-five mortality to at least as low 
as  25  per  1,000  live  births".  The  under-five  mortality  rate  measures  child  survival.  It  also  reflects  the  social,  economic  and 
environmental conditions in which children (and others in society) live, including their health care and nutritional status. Currently, 
79 countries have an under-five mortality rate above 25. In 2016 5.6 million children under age five died, 15,000 every day. Almost 
all of these deaths occurred in low-resource settings, and most could have been prevented. 83% of deaths in children under age five 
are caused by infectious, neonatal or nutritional conditions. 
Baseline,  milestones  and  target  to  be  revised,  once  the  indicators  on  new  UN  Development  Goals  will  be  finalised  and  values 
agreed.   
As  explained  under  section  5,  all  the  geographic  budget  lines,  GPGC  (with  its  Human  Development  component)  contribute  to 
SDG 3.   

Indicator 4: SDG3.1.1 Maternal deaths per 100,000 live births 

Baseline 2013 

246* 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

216* 

Actual results 

Not yet 
available 

Not yet 
available 

Target 2030 

less than 70 per 
100,000 live births 

*Projected  data  obtained 
dissemination is every 3-5 years 
The  indicator  3.1.1  maternal  mortality  ratio  (MMR=maternal  deaths  per  100,000  live  births)  is  aligned  to  Target  3.1:  "By  2030, 
reduce the global maternal mortality ratio to less than 70 per 100,000 live births".  

from  http://apps.who.int/gho/data/view.main.GSWCAH01REG.  Expected 

frequency  of  data 

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Maternal mortality was still unacceptably high in 2015 - an estimated 303 000 women died from pregnancy- or childbirth-related 
complications,  850  every  day.  Almost  all  of  these  deaths  occurred  in  low-resource  settings,  and  most  could  have  been 
prevented.   More  than  half  of  maternal  deaths  occurred  in  fragile  and  humanitarian  settings.  The  risk  of  maternal  mortality  is 
highest for adolescent girls under 15 years.  
To improve maternal health and reduce MMR, barriers that limit access to quality maternal health services must be identified  and 
addressed at all levels of the health system. Within a country often major differences in MMR are identified between regions and 
between urban/rural settings, and socio-economic characteristics (such as education level and wealth quintile). Ensuring universal 
health  coverage  for  comprehensive  reproductive,  maternal,  and  newborn  health  care  will  be  essential  to  achieve  the  SDG  MMR 
target.  Baseline,  milestones  and  target  to  be  revised,  once  the  indicators  on  new  UN  Development  Goals  will  be  finalised  and 
values agreed. 
As explained under section 5, all the geographic budget lines, GPGC (with its Human Development component) contribute 
to SDG 3.  
Indicator  5: SDG2.2.1  Prevalence  of  stunting  (height  for  age  <-2  SD  from  the  median  of  the  WHO  Child  Growth  Standards) 
among children under five years of age 

Baseline 2012 

25.1%  

2014 

2015 

Milestones foreseen 

2016 
23,6 
Actual results 

2017 
22,6 

2018 
21,7 

2019 
20,8 

Target 2020 

20* 

24% 

23.4% 

22.9%** 

*Target for 2025: The EU committed to meet at least 10% of the World Health Assembly’s global target to reduce stunting of 70 million children 
by 2025, pledging to reduce this number by at least 7 million. 
**  Figures  are 
taken  from 
http://www.who.int/nutgrowthdb/estimates2016/en/. 
As explained under section 5, all the geographic budget lines, GPGC (with its Food Security component) contribute to SDG 2.   

the  2017  report  on  "Joint  Child  Malnutrition  Estimates"  by  UNICEF,  WHO  and  World  Bank: 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

Cooperation actions aiming at poverty reduction and fostering sustainable economic, social and 
environmental development in Latin America 
Projects and programmes Asia, focusing on a.o. capacity building, rural development, education 
Projects and programmes Central Asia, focusing on a.o. capacity building, rural development, 
education 
Projects and programmes Middle East, focusing on a.o. sustainable economic development and 
education 
Projects and programmes Afghanistan, focusing on a.o. capacity building, rural development, education 
South Africa Employment Sector Reform Programme and Education and innovation programmes 
Global Public Goods and Challenges programme and projects focusing on Environment and Climate 
Change 
Global Public Goods and Challenges programme and projects focusing on Sustainable Energy 
Global Public Goods and Challenges programme and projects focusing on Human Development 
Global Public Goods and Challenges programme and projects focusing on Food Security, Nutrition and 
sustainable agriculture 
Global Public Goods and Challenges programme and projects focusing on Migration and asylum 
Programme to enhance the role of civil society organisations 
Programme to enhance the role of local authorities 
Pan-African Programme projects focusing on a.o. capacity building, infrastructure, agriculture, higher 
education 
Total 

21 02 01 

21 02 02 

21 02 03 

21 02 04 

21 02 05 
21 02 06 

16 

17 

9 

4 

3 
1 

295 

628.2 

131 

105 

119.4 
10 

21 02 07 01 

14 

195.24 

21 02 07 02 
21 02 07 03 

21 02 07 04 

21 02 07 05 
21 02 08 01 
21 02 08 02 

21 02 09 

3 
8 

2 

3 
200 
38 

1 

319 

95.82 
156.5 

170 

24 
140 
48.4 

43.5 

2,162.06 

Specific Objective 2: Consolidating and supporting democracy, the  rule of law, good governance, human rights and the relevant 
principles of international law. 
Indicator 1: Average score in the Rule of law as measured by the World Bank’s Worldwide Governance Indicator (DCI countries 
eligible for geographic cooperation) 
The  Rule  of  Law  indicator  is  one  of  the  six  aggregate  indicators  of  the  World  Bank  Worldwide  Governance  Indicators  (WGI).  It  captures 
perceptions of the extent to which agents (i.e. firms, individuals and public officials) have confidence in and abide by the rules of society, and in 
particular the quality of contract enforcement, property rights, the police, the courts, as well as the likelihood of crime and violence.  

 Baseline  
2008 

-0.88 

2014 

2015 
-0.82 

2016 
-0.81 

2017 
-0.80 

2018 
-0.79 

2019 
-0.78 

Milestones foreseen 

-0.74* 

-0.75** 

-0.77*** 

Not yet 
available*** 

Actual results 

*Actual consolidated figure for the year 2014 for the 29 DCI countries 

Target 2020 

-0.77 

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** Actual consolidated figure for the year 2015 for the 29 DCI countries 
*** Actual consolidated figure for the year 2016 for the 29 DCI countries 
**** World Bank's Worldwide Governance Indicator currently covers the period 1996-2016  

The  dedicated  webpages  of  the  World  Bank  provide  information  about  the  methodology  used  for  the  World  Bank  WGIs 
(http://info.worldbank.org/governance/wgi/index.aspx#doc) 
Reports 
and 
(http://info.worldbank.org/governance/wgi/index.aspx#countryReports).    Based  on  the  above,  DG  DEVCO  monitors  information 
for the countries available for DCI geographic funding under the Multi Financial Framework 2014-2020 (29 countries). The data 
shows the average index score for these countries. The index ranges from  -2.5 (worst possible score) to +2.5 (best possible score) 
where "0" means average score (across all the countries where the index is measured) 

annually 

Country 

updated 

Data 

Indicator  2: Number  of  projects  funded  from  the  DCI  to  promote  democracy,  the  rule  of  law,  good  governance  and  respect  for 
human rights in the DCI beneficiary countries 

Baseline  
Average 2010-2012 

2014 
70 

2015 
70 

Milestones foreseen 
2017 
80 

2016 
75 

2018 
85 

2019 
90 

70 

96* 
Source: CRIS Data Warehouse 

84** 

310*** 

391**** 

Target 2020 

100 

* In 2014, 96 projects were signed under the DCI excluding CSO&LA, on the DAC codes corresponding to democracy, rule of law, governance 
and respect of human rights (15100, 15110, 15111, 15112, 15113, 15130, 15150, 15151, 15152, 15153, 15160).  
** In 2015: 84 contracts were signed in total under the DCI, with the following detail:  Democracy: 17 contracts;   Democratic participation and 
civil society DAC 15150: 170 projects (8+24); Anti-corruption DAC 15113: 5 contracts; Justice DAC 15130: 17 contracts;  HR: 21 contracts. 
*** In 2016, using the following DAC sectors: 15110, 15111, 15112, 15113, 15114, 15130, 15150, 15151, 15152, 15153, 15160, 15170, 15180 to 
cover a broader range of sectors included in the indicator under "democracy, the rule of law, good governance and respect for human rights": 310 
contracts. The large number of projects is therefore due to the large number of DAC codes used, and also because of an increase in the 2014-2020 
programming at bilateral level in DCI countries, that given the d+3 rule for contracting made the number of contracts rose as from 2016. 
****  in 2017, we used the same  methodology of 2016, using the following  DAC sectors: 15110, 15111, 15112, 15113, 15114, 15130, 15150, 
15151, 15152, 15153, 15160, 15170, 15180 to cover a broader range of sectors included in the indicator under "democracy, the rule of law, good 
governance and respect for human rights": 391 contracts. 
Indicator 3: SDG 5.5.1 Proportion of seats held by women in national parliaments 

Baseline 2011 

2014 

2015 

19.7% (18.2% excluding 
IPA countries) 

Milestones foreseen 

2017 

2018 

2019 

2016 
26% 
Actual results 

Target 2020 

40% 

22.7%* 

23.2%** 

23.5%** 

* Source: Inter Parliamentary Union (IPU) http://www.ipu.org/wmn-e/world.htm 
**Source of data: UN Women data in "Facts and Figures on Democratic Governance". 
*** World average 

Women face several obstacles to participating in political life. Structural barriers through discriminatory laws and institutions still 
limit  women'  option  to  run  for  office.  Capacity  gaps  mean  women  are  less  likely  than  men  to  have  the  education,  contacts  and 
resources needed to become effective leaders. The EU supports activities to overcome these barriers and promote the democratic 
participation of women and men in the political decision making process.   

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

Cooperation  actions  aiming  at  consolidating  and  supporting  democracy,  rule  of  law,  good  governance, 
human rights and principles of international law in Latin America 
Projects  and  programmes  Asia,  focusing  on  a.o.  strengthening  democratic  government,  human  rights, 
judicial reform, civil society 
Projects and programmes Central Asia, focusing on a.o. rule of law and border management 
Projects and programmes Middle East focusing on a.o. rule of law and human rights 
Projects  and  programmes  Afghanistan,  focusing  on  a.o.  strengthening  democratic  government,  human 
rights, judicial reform, civil society 
South Africa Public administration and legislative support programmes 
Global  Public  Goods  and  Challenges  programme  and  projects  focusing  on  Environment  and  Climate 
Change 
Global Public Goods and Challenges programme and projects focusing on Sustainable Energy 
Global Public Goods and Challenges programme and projects focusing on Human Development 
Global Public Goods and Challenges programme and projects focusing on Food Security, Nutrition and 
sustainable  agriculture,  and  more  specifically  on  strengthened  governance  approaches  for  food  and 
nutrition security at the global, continental and regional level 

21 02 01 

21 02 02 

21 02 03 
21 02 04 

21 02 05 

21 02 06 

21 02 07 01 

21 02 07 02 
21 02 07 03 

21 02 07 04 

5 

12 

3 
5 

1 

1 

2 

0 
2 

2 

65 

182.1 

20.7 
89.5458 

80 

12.3 

20.35 

0 
49.5 

61.6 

458 The amount does not include a transfer of additional funds from the reserve, decision taken in the framework of the 2017 Mid-term Review 

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Outputs 

Global Public Goods and Challenges programme and projects focusing on Migration and asylum 
Programme to enhance the role of civil society organisations 
Programme to enhance the role of local authorities 
Pan-African support to the fight against organised-crime and support to pan African Union 
Total 

Budget line 

21 02 07 05 
21 02 08 01 
21 02 08 02 
21 02 09 

Draft Budget 2019 
Number  EUR million 

4 
50 
24 
1 
112 

31 
79.6 
24.8  
90.5 
806.95 

Justification of changes to the financial programming and/or to the performance information 

The decrease of the DCI un-allocated reserve made last year in favor of the  new programme  Capacity Building for Security and 
Development  (EUR  15  million)  has  been  returned.  Therefore  the  reserve  was  EUR  263  million  at  the  beginning  of  2018. In  the 
framework of the DCI mid-term review and of the revision of the Multiannual Indicative Programmes, the DCI programming 2019-
2020 was updated to take into account of the distribution of EUR 248 million from the DCI non-programmed reserve in favor 
of Middle East (EUR 245.1 million for Iraq, Iran and Yemen) and Latin America (EUR 2.9 million, to be used for the top-up of a 
Gender programme in Peru). After this distribution, the remaining DCI reserve is EUR 15 million. 

Furthermore, it was decided that EUR 40 million, not programmed on the budget line Asia, would be redeployed in favor of Middle 
East  (EUR  23  million  for  Iraq,  Iran  and  Yemen)  and  South  Africa  (EUR  17  million).  This  is  also  reflected  in  the  DCI  updated 
programming 2019-2020. 

The Middle East region continues to be a synonym of conflict, violence, terrorism, migration. The extent of the challenges was not 
envisaged  when  preparing  the  initial  MIPs.  There  is  however  consensus  in  the  EU  at  this  stage  that  we  need  to  continue  our 
engagement to help the countries overcome these challenges.  

As the only Southern Africa Development Community country supported through the DCI, and therefore unable to reach funding 
from the European Development Fund regional envelope, South Africa needs to receive support in 2020 to facilitate the regional 
Economic Partnership Agreement implementation and to act on gender issues. 

5. Programme contribution to the Sustainable Development Goals 

Considering its wide geographic and thematic scope, the DCI contributes to all 17 SDGs. Moreover, as stated in the Consensus, the 
implementation  of  the  2030  Agenda  requires,  when  planning  and  implementing  development  cooperation,  to  pay  particular 
attention to interlinkages between the SDGs and to integrated actions that can create co- benefits and meet multiple objectives in a 
coherent  way.  The  DCI  contributes  to  this  approach  and  to  integrate  in  a  balanced  manner  the  three  dimensions  of  sustainable 
development, i.e. economic growth, social inclusion and environmental protection. 

From  the  perspective  of  the  geographical  programmes  including  Pan-Africa,  the  programme  will  contribute  beyond  human 
development (SDGs 1, 2, 3, 4, 5) to other numerous SDGs and in particular to the fields of environment and climate change (SDGs 
6, 9, 11, 13, 15), resilience and sustainable energy (SDGs 7, 9), security-development nexus (SDGs 16), inclusive growth and job 
creation (SDGs 8, 12) and governance (SDG 16). In South Africa, the programme will contribute to several SDGs, including 4, 5, 
8, 10 and 11 through its support provided within the field of education and employability, innovation, and public service delivery 
actions. The Pan-African programme with its wide thematic scope contributes among others to SDG 4 (through higher education 
projects),  SDG  8  (contributing  to  trade  and  economic  growth  and  improving  youth  employability  through  knowledge  and  skills 
projects), SDG 9 (through the support to infrastructure and connectivity and to science, technology and innovation), SDGs 13, 14 
and  15  (through  the  earth  observation  project)  and  SDG  16  (supporting  the  African  Union  Commission,  the  political  dialogue, 
including migration, and the role of Non-State actors). 

From the perspective of the thematic programmes related to Global Public Goods and Challenges (GPGC), likewise a wide array 
of  SDGs  is  targeted.  The  area  of  environment  and  climate  change  contributes  to  SDG  7  (energy),  SDG  12  (Sustainable 
consumption  and  production),  SDG  13  (Climate  change),  SDGs  14  (Oceans)  and  15 (Terrestrial  ecosystems).  Action  on  climate 
change  and  environment  mainstreaming  contributes  to  the  environmental  dimension  of  all  the  other  SDGs.  In  the  area  Human 
Development, SDG 4 is at the core of the vision of the Global Partnership for Education (GPE), which remains the main recipient 
of funding in the education sub-programme. The programme will contribute to all targets of SDG 3, including what is considered a 
key target, namely universal health coverage through comprehensive support to health systems strengthening. 

In  the  area  of  Gender  equality,  the  GPGC  contributes  to  SDG  5,  including  targeting  the  elimination  of  harmful  practices,  the 
access  to  sexual  and  reproductive  health  and  rights,  and  contributing  to  ending  discrimination  and  violence  towards  women  and 
girls. Actions aiming at ensuring the wellbeing of children contribute, among others, to SDG 16. The Culture component of the 
GPGC Human Development scheduled for implementation from 2018 equally aims at SDGs 4, 11 and 16, through the promotion of 
cultural pluralism and intercultural understanding. In the area of Social inclusion and protection, SDGs 1, 8 and 10 are at the core 
of EU action under the Human Development component of the GPGC related to employment and decent work, social protection, 
social  inclusion  and  the  reduction  of  inequalities.  In  the  area  Growth,  jobs  and  private  sector  engagement,  and  specifically 
regarding private framework development, trade and regional integration, the priorities for 2017 are strictly linked to the Agenda 
2030 and its SDGs (mainly SDGs 8, 9, 12 and 17). In the area of Food security, SDG 2 is the foundation of the GPGC-food and 
nutrition security and sustainable agriculture programme. All forthcoming actions will be designed to be fully relevant for SDG 2 
and to contribute to SDG 5, to SDG 8 and to SDG target 13.1 in all countries.  

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As part of the 2030 Sustainable Development Agenda, Migration is addressed as a cross-cutting issue and aims in particular at 
SDG targets 5.2, 8.8, 10.7, 16.2 and 17.18. Regarding Civil Society Organisations and Local Authorities in development (CSO-
LA), LA’s wide-ranged responsibilities make them key partners in the achievement of a range of goals, including SDG 1, SDG 6, 
SDG 8, SDG 11, SDG 16 and SDG 17. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

6.1. DCI contribution to Investment Facilities 

In Asia and Latin America, the DCI is funding regional investment facilities, aiming to blend EU grants with additional public and 
private non-grant funds (loans, equity, etc.) in order to facilitate investments with a development impact in the regions. 

Latin America is benefitting from the Latin America Investment Facility (LAIF). Since its creation in 2009 until 2017, EUR 375 
million (EUR 308 million to Regional Latin America, EUR 50 million earmarked for Nicaragua and EUR 17 million for a Climate 
Change Window) have been allocated to LAIF.  

41  blending  projects  proposals  have  been  approved  by  the  Board  by  the  end  of  2017.  The  LAIF  contribution  to  the  41  projects 
amounts to around EUR 345 million including fees. These contributions are expected to leverage investments worth around EUR 
8335  million.  50.9%  of  the  facility  contribution  to  the  projects  was  made  in  the  form  of  investment  grant,  41.2%  as  technical 
assistance 3.6% in the form of risk-sharing instruments and guarantees 3.8%. 

The  indicative  pipeline  of  potential  projects  updated  at  the  end  of  2017  includes  13  projects  for  a  total  investment  cost  of  EUR 
1,275 million with an indicative potential LAIF contribution of EUR 142 million 

Central Asia is benefitting from the Investment Facility for Central Asia (IFCA). Since its creation in 2010, EUR 171.5 million 
have  been  allocated  to  this  investment  facility,  out  of  which  EUR100  million  so  far  have  been  allocated  under  the  2014  –  2020 
DCI.  28  blending  projects  have  been  approved  by  the  Board  by  the  end  of  2017  but  two  have  been  cancelled.  The  IFCA 
contribution  to  the  26  projects  amounts  to  around  EUR  160  million  including  fees.  These  contributions  are  expected  to 
leverage   investments  worth  around  EUR  862.20  The  current  IFCA  pipeline  proposes  funding  requests  worth  further  EUR  97 
million for investments of nearly EUR 650 million. EBRD is the main contracting partner for blending projects (87% of contract 
value at the end of 2017). However, the  Commission  has  started reaching out to other  partners, including private sector arms of 
European development financial institutions such as, for example, the French PROPARCO.  

As far as the regional investment facility for  South and South East Asia is concerned, i.e., the Asian Investment Facility (AIF), 
has benefitted from DCI allocations of EUR 242 million by the end of 2017, out of which EUR 218 million have been allocated 
under  the  2014  –  2020  DCI.  Through  the  AIF,  the  DCI  is  funding  30  blending  projects  by  the  end  of  2017  -  32  were  initially 
approved  but  two  had  to  be  cancelled.  The  EU  grant  contribution  to  these  30  contracts  amounts  to  around  EUR  180  million 
including fees for a total expected investment volume of around EUR 4.8 billion. The current pipeline for the AIF proposes funding 
requests  worth  additional  EUR  206  million,  in  view  of  promoting  a  total  investment  volume  of  EUR  7  billion.  Main  blending 
partners in Asia are KfW and AFD, but for IFCA, the Commission is intending to diversify its blending cooperation.  

The  importance  of  investments  in  reaching  the  SDGs  is  increasingly  recognized  in  development  cooperation  It  is  against  this 
background that the opportunity of the Mid-term Review (MTR) has been used to increase funds available to boost investments in 
Asia  and  Central  Asia,  notably  by  the  establishment  of  investment  allocations  for  a  large  majority  of  countries  in  these  regions. 
Following the MTR, investment funds cannot be only channelled through above mentioned regional blending facilities, but could 
be used for joint and parallel investment operations with other development partners or for stand-alone capacity building measures 
and advisory services contributing to an improved business environment and/or technical or financial know-how of SMEs and local 
banking sectors. Eligible activities are activities boosting investments contributing to the achievement of the SDGs. 

An  investment  allocation  has  been  also  created  for  Iraq  which  could  offer  strategic  opportunities  for  investments  during  the 
reconstruction  phase.  Like  the  investment  allocations  for  other  countries,  these  funds  can  either  be  implemented  as  stand-alone 
projects  or  via  a  regional  investment  facility.  The  relevant  programming  documents  (Regional  Investment  Programming  and 
Multiannual  Indicative  Programming)  are  being  adjusted  under  the  Mid  Term  Review  to  accommodate  this  possibility.  The 
extension of the AIF to cover also the Middle East region could offer strategic opportunities for investment in Iraq and, depending 
on the evolution of the situation, also in Yemen. 

The Global Energy Efficiency and Renewable Energy (GEEREF) investment facility is an innovative financing vehicle aiming 
at promoting energy efficiency and renewable energy in developing countries and economies in transition. Structured as a Fund-of-
Funds,  GEEREF’s  strategy  is  to  invest  in  –and  thus  help  develop–  regional  private  equity  funds,  the  investments  of  which  will 
target  small  and  medium-sized  energy  efficiency  and  renewable  energy  projects. The  DCI  contributed  to  the  fund  with  EUR  81 
million.  Since  its  launch  in  2008,  the  DCI  contribution  was  catalytic  in  mobilising  project  finance  to  82  renewable  energy  and 
energy efficiency projects in Africa, Asia and Latin America. 

The Electrification Financing Initiative (ElectriFI), Africa Renewable Energy Scale-Up Facility (ARE Scale Up) and Climate 
Investor  One  (CIO)  and  Agriculture  Financing  Initiative  (AgriFI)  are  described  above,  under  "key  achievements"  of  GPGC 
(sub-points Environment and Climate  change and Food security).  

The 'Transferability and Convertibility Facility' (T&C Facility) has been proposed under the thematic blending framework by 
Proparco and was approved for an EU contribution of EUR 30 million, with the expectation to leverage more than EUR 450 millio n 

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sustainable energy investments. The objective of the T&C Facility is to de-risk some 5 projects of 250 MW of renewable energy 
generation capacity through reducing the convertibility and transferability risk of the payments to be made by the energy off-takers. 
In the cases when off-takers' payments to Independent Power Producers (IPPs) cannot be made due to any emerging limitations of 
local  currency  convertibility  and  transferability,  the  T&C  Facility  would  provide  financing  for  an  amount  corresponding  to  6  to 
12 months of the respective IPPs maximum debt service. 

6.2. DCI contribution to Trust Funds 

In  2017,  the  DCI  made  a  EUR  230  million  contribution  to  the  European  Union  Emergency  Trust  Fund  for  stability  and 
addressing root causes of irregular migration and displaced persons in Africa. In 2016 the contribution was of EUR 83 million. Out 
of this, EUR 25 million came from the GPGC Migration and asylum thematic programme, in particular to support cross-regional 
actions  aligned  with  the  3  objectives  of  the  thematic  programme.  A  further  EUR  23  million  contribution  to  the  Horn  of  Africa 
window  came  from  the  DCI  Food  programme,  while  EUR  25  million  came  from  the  PanAfrica  programme  for  actions  cutting 
across the three geographic windows, and EUR 10 million came from the DCI Food for the Sahel and Lake Chad window.  

In 2017, a EUR 14.7 million transfer from the GPGC thematic programme on migration and asylum was made to the Bêkou Trust 
Fund in order to support durable solutions to forced displacement in the Central African Republic, as part of commitments made 
during the donor conference  for the  Central  African Republic of 17 November 2016. The  DCI Food programme  also  financed a 
EUR 3 million contribution to TF Bêkou in 2016.  

In 2017 EUR 10 million from DCI migration were transferred to IPA to be used for the Facility for Refugees in Turkey (FRIT) via 
the EU Regional Trust Fund in support to the Syrian crisis (Madad fund). In 2016, EUR 20 million from the GPGC Migration and 
asylum  were  channelled  through  the  Madad  TF  with  the  specific  objective  to  support  refugees,  internally  displaced  persons, 
returnees and host communities, in particular in Lebanon, Jordan and Iraq. Another contribution to the Madad fund of EUR 19.4 
million459  was made by the DCI Middle East in 2016. In 2015, the contributions to Madad TF were EUR 6.9 million from CSO-LA 
and EUR 10 million from DCI-Middle East (for the FRIT). 

During  2017,  a  contribution  of  EUR  40  million  was  made  from  DCI-Latin  America  to  the  post-emergency  EU  Trust  fund 
Colombia, set up in 2016 and first projects started to be deployed in the conflict affected departments of Cauca, Valle del Cauca, 
Choco and Meta. All actions have a strong focus on local and productive development. In October 2017, the second Strategic Board 
took place in Bogota, in which it was agreed to include reincorporation of ex-fighters as one of the Fund's main priorities. In 2016, 
DCI-Latin America contributed to Colombia TF with EUR 30 million. 

459 out of which EUR 10 million under the FRIT 

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HEADING 4: Global Europe 

Partnership instrument for cooperation with third countries (PI) 
Lead DG: FPI 
Associated DGs: EAC 

I. Programme Overview 

What the programme is about? 

The Partnership Instrument for Cooperation with Third Countries (PI) is the EU's first instrument specifically designed to promote 
the Union's strategic interests worldwide by reinforcing its external strategies, policies and actions. 
It has four main objectives: 

1.  offering policy support and responding to global challenges; 
2.  projecting the international dimension of Europe 2020; 
3.  enhancing market access and boosting trade, investment and business opportunities for EU companies; 
4.  promoting public diplomacy and academic cooperation. 

The  PI  has  been  designed  to  advance  and  promote  EU  and  mutual  interests  abroad  by  supporting  the  external  dimension  of  EU 
policies,  in  particular  the  Europe  2020  strategy,  and  by  addressing  major  global  challenges,  both  at  bilateral  and  at  multilateral 
level.  Contrary  to  many  traditional  financing  instruments,  the  PI  promotes  peer-to-peer  relationships  globally,  although  with  a 
specific focus on EU's designated strategic partners. The PI also intends to improve market access and develop trade and business 
opportunities for EU companies through economic partnerships, business and regulatory cooperation. Finally, the PI is intended to 
enhance  widespread  understanding  and  visibility  of  the  Union  on  the  world  scene  by  means  of  public  diplomacy, 
education/academic cooperation & outreach activities. 

EU added value of the programme 

The EU has numerous international agreements with partner countries all over the world resulting in influence in virtually all fields 
of international relations. By combining the weight of all Member States acting within common policies and strategies, only the EU 
has  the  critical  weight  to  respond  to  global  challenges.  The  EU  as  a  global  player  has  credibility  and  neutrality  which  is  not 
available  to  individual  Member  States.  The  EU  is  also  in  a  unique  position  to  promote  EU  norms  and  turn  them  into  global 
standards through international cooperation. 
The  PI  Mid-Term  Review  Evaluation  Report  of  2017460  indicated  that  its  EU  added  value  lies  in  its  design  and  the  support  it 
channels for the proactive promotion of EU interests and objectives. The PI added value is in its role as the only instrument which 
can be deployed globally and which explicitly pursues EU interests, and mutual interests with partner countries. Withdrawing PI 
support would reduce the ability of the EU to pursue partnerships, build alliances, and influence decision making with a wide range 
of partner countries. There is wide consensus that the EU level is the most appropriate for action in fields of PI intervention. 

II. Programme Update 

Implementation status (2014 -2017) 

In  2017,  the  adoption  of  the  Annual  Action  Programme  2017 (AAP)  and  the  timely  contracting  of  actions  under  the  AAP  2016 
were the main policy and expenditure-related outputs for the PI. Additionally, the implementation and monitoring of actions under 
the AAPs 2014, 2015 and 2016 as well as the launch of the programming exercise for 2018 through the cluster modality were key 
efforts for PI implementation and planning. 

The AAP 2017 was adopted in two phases: AAP 2017 Phase I comprising Action Fiches 1-19 with a budget of EUR 87,6 million 
was adopted on 22 May 2017 while Phase II comprising Action Fiches 20-23 with a budget of EUR 23,799 million was  adopted on 
17  November  2017.  Additional  commitment  appropriations  worth  EUR  5.5  million  were  granted  to  the  instrument  for  the 
budgetary year 2017. By means of three non-substantial amendments to AAP 2017, the EUR 5.5 million were reallocated to Action 
Fiches on Cooperation with Major Economies for the Implementation of the Paris Agreement and Policy Support Facility, thereby 
raising the value of AAP 2017 to EUR 116,9 million.  The contracting of AAP 2017 actions is under way and will be completed by 
the end of 2018. 

In terms of PI AAP 2016, all 22 stand-alone actions were committed and signed by the  end of 2017. Out of the total AAP 2016 
budget of EUR 109.15 million, FPI was responsible for the management of EUR 105.4, million, of which EUR 105.1 million were 
contracted. There was a concerted effort to maximize budget consumption by transfers and internal reallocations. As a result, the 
RAC for the Instrument was extremely small (EUR 0.26 million, or 0.24%). 

Key programme achievements to date (examples of programme success stories / generated EU value added) 

In  order  to  understand  the  concrete  PI  achievements  in  2017,  it  is  important  to  note  that  the  instrument  focuses  on  influencing 
processes through facilitation and support, and  on increasing EU capacity to impact policy making. In this regard, the  Mid-Term 

460 https://ec.europa.eu/europeaid/mid-term-evaluation-partnership-instrument-pi-draft-report_en 

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Review  evaluation  found  evidence  that  the  PI  played  an  often  critical  enabling  role  through  both  strengthening  and  opening  up 
areas for cooperation and dialogue. This catalytic effect of the instrument is reflected in a new Partnership Instrument intervention 
logic and a set of core indicators developed and adopted in 2016 and on which we provide data in this section461.  

The  indicators  are  divided  into  activity,  output  and  outcome  indicators.  Various  activities  are  implemented  under  the  PI  funded 
actions. These activities can be divided into three main categories: 

  Exchanges, events, knowledge sharing 
  Provision of expertise, technical assistance 
  Promotion, outreach, engagement 

Cumulative data (2014-2017) on core activity indicators are presented in the table below. 

PI Activities implemented 

A1: Total number of events organised and supported (aggregated) 

Number of visits, exchanges, study tours 

Number of business missions 

Number of technical meetings 

Number of group events (conferences, debates, workshops, seminars ) 

Number of training activities 

Number of outreach and advocacy  (including networking events, cultural collaboration activities) 

A2: Person-days of expertise or technical assistance provided 

A3: Number of public/media/communication campaigns organised and implemented (aggregated) 

Total recorded 
1141462 

33 

38 

186 

317 

134 

272 

13,013 

50 

Source: Partnership Instrument Monitoring System 
The  activities  implemented  under  PI  actions  lead  to  delivery/production  of  a  wide  range  of  outputs,  which  can  be  grouped  into 
different 4 main categories: 

  Direct benefits of events (e.g. increased knowledge, understanding, awareness, networking, engagement) 
  Knowledge-based products 
  Outcome statements 
  Advocacy, awareness raising products 

Cumulative data (2014-2017) on core output indicators are presented in the table below. 
PI Outputs delivered  

Total recorded 

OP1: Number of participants in an event 

OP2: Percentage of participants who report having benefited from an event 

OP3: Number of EU companies that participated in an event 

OP4: Percentage of EU companies which report having benefited from an event 

OP5: Number of outcome statements emanating from an event 

OP6: Number of knowledge-based products developed 

OP7: Number of communication products developed 
Source: Partnership Instrument Monitoring System 

77,665 

86.5% 

839 

74% 
20463 

2,218 

1,017 

Relevant findings of evaluation and/or programme related studies 
In  2017,  Mid-Term  Review  evaluation  Report464  of  the  PI  was  finalised.  It  was  conducted  in  the  framework  of  the  Mid-term 
Review Process as set out under Article 17 of the Common Implementing Regulation.465An independent external evaluation report 
was  finalised  in  June  2017  and  the  evaluation  was  concluded  by  a  Staff  Working  Document  adopted  by  the  Commission  on  15 
December 2017466. The latter document subsequently fed the Mid-term Review report on EU external financing instruments which 
was submitted to the  Council and the European Parliament. Besides the EU added-value brought by PI  mentioned above (in the 
sections EU added value of the programme), the key findings of the evaluation were: 
  At  the  mid-term  of  its  implementation,  the  Partnership  Instrument  has  proven  its  continued  relevance  to  long  standing  EU 
priorities  and  demonstrated  its  flexibility  through  responses  to  new  and  changed  policy  priorities  that  have  arisen  since  its 

461 The cumulative data for 2017 was collected from January to end of March 2018 based on inception, interim and final reports. The core indicators were developed 
in 2016 and training to implementing partners to use them has been organised between October 2017 and March 2018. This means that data was not always 
collected in the previous period and cannot be recreated ex post. Therefore, the cumulative data presented are an underestimate of the real achievements. 
462 Implementing partners did not always report on disaggregated categories. The total number of events is therefore higher than the sum of disaggregated categories. 
463 The number of outcome statements as reported under output indicator OP5 is lower than reported the last year. This is due to an additional quality review of the 
evidence performed during the latest data collection. This quality review led to revisions as to under which precise indicator the output is recorded and resulted in a 
some reclassifications from indicator OP5 (Number of outcome statements emanating from an event) to indicator OP6 (Number of knowledge-based products 
developed). 
464 https://ec.europa.eu/europeaid/mid-term-evaluation-partnership-instrument-pi-draft-report_en 
465 Regulation (EU) No 236/2014 of the European Parliament and of the Council of 11 March 2014 
466 https://ec.europa.eu/europeaid/sites/devco/files/swd-mid-term-review-pi_en_0.pdf 

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adoption.  This  flexibility  is  not  only  due  to  the  PI  Regulation,  but  also  through  choices  made  in  the  way  the  instrument  is 
implemented. 

  Available performance evidence proves the effectiveness of the PI in delivering results, which is a positive achievement given 
the early stages of implementation. The instrument is on track towards reaching its objectives and is ahead of the overall EU 
target  as  regards  spending  on  climate  action.  However,  more  structural  attention  needs  to  be  paid  to  the  mainstreaming  of 
overarching themes set out in CIR Regulation within funded actions. 

  PI serves to support EU interests and policies across a range of EU objectives, therefore its target "clients" are EU and Member 
State policy-makers. The  decision-making process has evolved towards  more  concentration on strategic EU priorities. Some 
aspects  need further improvement: enhancing the active  role of EU delegations  in the formulation of actions; increasing the 
input  invested  by  client  services  in  preparing  and  implementing  the  actions;  increasing  information  sharing  with  Member 
States; and improving the visibility, knowledge and understanding of the PI, especially within the EU institutions, so that its 
full potential is realised. 

  The implementation of the PI is considered to be adaptive, efficient and flexible. Reaction to emerging needs is particularly fast 
through the PSF and TAIEX mechanisms as well as due to flexible programming through the adoption of AAP in two phases. 
Strategic direction of the PI was strengthened through the introduction of the "cluster"  approach gathering all relevant EEAS 
and  Commission  policy  departments  on  particular  themes  or  countries.  This  was  also  instrumental  in  defining  nine  main 
priority  interventions  for  the  PI  along  with  the  EU  Global  Strategy,  ten  Commission  priorities  and  the  Sustainable 
Development Goals. This ensues PI actions are focused on achieving meaningful impacts. There are notable improvements in 
the monitoring and evaluation framework which have the potential to ensure strong performance data in the future as compared 
to the first stages of implementation of the PI. 

  The PI is the only instrument providing means to pursue EU strategic interests globally, demonstrating a clear EU added value. 
There is a consensus that the EU level is the most appropriate for action in PI fields of intervention. Withdrawing PI support 
would  reduce  the  ability  of  the  EU  to  pursue  partnerships  with  a  wide  range  of  partner  countries,  failing  to  live  up  to  its 
bilateral and international commitments as well as to the partners’ expectations. 

  The  PI  is  externally  and  internally  coherent  by  design.  In  practice  inclusive  and  participatory  PI  decision-making  processes 
ensured  that  in  its  implementation,  it  facilitates  coherence,  consistency,  complementarity  and  synergies  both  internally  and 
externally. The high level of involvement from "client" EEAS and Commission services is a condition a sine qua non for the 
implementation of the PI, but to secure sufficient investment and input remains a challenge. 

  Financial leverage is not a requirement and has occurred to a limited extent. More important is the political and policy leverage 
potential inscribed in the design of the PI. This leverage potential has been realised as the PI has acted  as an enabler, opening 
up new and wider areas for political and policy dialogue and cooperation. 

Last, the evaluator considered in comparison to other External Financing Instruments that the ratio of administrative costs to overall 
budget  of  the  PI  is  proportionate  and  reasonable,  taking  into  account  higher  amount  of  direct  management  where  administrative 
costs  are  borne  by  the  Commission.  In  addition,  the  Instrument  supports  a  wide  variety  of  actions,  which  require  tailored 
management  and  administration,  and  are  to  a  very  large  extent  contracted  separately.  Institutional  and  external  stakeholders 
confirmed that the PI's administrative costs are reasonable and in line with what the instrument is expected to achieve and what it 
has delivered against its objectives to date. 

Information about forthcoming implementation (2018-2019) 
The PI Annual Action Programme is adopted in two phases to allow for increased flexibility, in spring and in autumn. Currently, 18 
actions  are  being  considered  for  inclusion  in  the  first  phase  of  AAP  2018,  which  is  framed  by  the  EU  Global  Strategy,  the 
Sustainable Development Goals and the 10 Commission Priorities in addition to the PI multi-annual framework. The programming 
exercise  is  conducted  through  a  cluster  approach  involving  close  cooperation  with  the  EEAS,  EU  Delegations  and  Commission 
services467 based on initial strategic reflections provided by the EU Delegations. The main lines of action being considered for  the 
AAP 2018 are: climate/energy action; circular economy; ocean governance; responsible business conduct; support to market access 
as well as public and culture diplomacy. 

III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation (EU) No 234/2014 of the European Parliament and of the Council of 11 March 
2014 establishing a Partnership Instrument for cooperation with third countries 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

954,8 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Executive Agency 
Total 
Of which contribution to Erasmus+ 

4,3 
115,4 
0,3 
119,9 
8,2 

3,4 
114,4 
0,2 
118,0 
11,7 

4,8 
122,4 
0,2 
127,5 
14,7 

5,0 
133,0 
0,2 
138,2 
15,4 

5,3 
134,8 
0,1 
140,2 
11,5 

5,8 
148,2 
0,0 
154,0 
12,5 

6,1 
156,1 
0,0 
162,3 
13,7 

467 For example, DG CLIMA,DG EAC,DG  ENV, DG ENER, DG GROW, DG HOME, DG MARE,DG  MOVE and DG TRADE. 

Total 
Programme 
34,8 
924,3 
1,0 
960,0 
87,8 

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2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
138,213 

Impl. Rate 
99,97 % 

PA 
77,033 

Impl. Rate 
98,42 % 

CA 
140,187 

Impl. Rate 
6,91 % 

PA 
90,660 

Impl. Rate 
29,24 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

97,54 % 

29,02 % 

99,90 % 

140,572 

139,998 

6,89 % 

78,824 

92,048 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

Priority 

Europe 2020 
One of the specific objectives of the PI is to implement the international dimension of the Europe 2020 Strategy, by facilitating the 
reduction of greenhouse gas emissions, increasing energy efficiency and promoting the use of energy from renewables at the global 
level. The estimate for 2018 corresponds to planned projects of AAP 2018 under Specific Objectives 1 and 2 that are considered to 
contribute  to  the  Europe  2020  Strategy  based  on  the  above  description.  The  estimate  for  2019  corresponds  to  the  provisionally 
foreseen projects of AAP 2019. 

Budget 2018 
(EUR million) 
30,5 

DB 2019 
(EUR million) 
20,2 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 
16,84 

DB 2019 
(EUR million) 
35,4 

Specific objectives 1, 2 and 3 
The estimate for 2018 corresponds to the planned projects of AAP 2018 under Specific Objectives 1, 2 and 3 that are considered 
according to Rio Markers to have main or significant objectives linked to climate change mitigation or adaptation. The estimate for 
2019 corresponds to (provisionally) foreseen projects of AAP 2019. 

2014 
35,26 

2014 – 2016 
2015 
22,34 

2017-2018 estimates 

2016 
32,88 

2017 
34,91 

2018 
16,84 

2019-2020 programming 
2020 
2019 
37,2 
35,4 

Total 
2014-2020 
214,8 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

Contribution to financing biodiversity 

Relevant objective/output 

Budget 2018 
(EUR million) 
17,7 

DB 2019 
(EUR million) 
10,2 

Specific objective 1 
The estimate for 2018 corresponds to planned projects for AAP 2018 under Specific Objective 1 that are considered according to 
Rio Markers to have main or significant objectives linked to biodiversity conservation.  The estimate  for 2019 corresponds to the 
(provisionally) foreseen projects of the AAP 2019. Please note that the above figures do not cover all activities of PI for DB 2019. 

2014 
0,4 

2014 – 2016 
2015 
7 

2017-2018 estimates 

2016 
6,36 

2017 
9,5 

2018 
17,7 

2019-2020 programming 
2020 
2019 
10,7 
10,2 

Total 
2014-2020 
61,9 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

Gender mainstreaming 
In 2017, the PI supported the implementation of the Gender Action Plan 2016-2020.  In the context of the PI AAP 2017, 2 actions 
directly addressing the GAP 2016-2020 thematic priorities "Economic, Social and Cultural Rights" and "Voice and Participation" 
were  adopted  and  contracted  while  1  action  was  identified  and  designed  for  the  PI  AAP  2018.  A  new  facility  aiming  at 
mainstreaming gender across all PI areas and actions was also launched.  

In  2017,  22.6%  of  contracted  actions  reported  a  G-Marker  2  and  5.8%  reported  a  G-Marker  1.  This  constitutes  an  increase  as 
compared to the year 2016, when 2.4% of contracted actions reported G-Marker 1 and the remaining 97.6% reported a G-Marker 0. 
This data is provided in line with Objective 5.3.2 of the EU Gender Action Plan 2016-20468.  

4. Performance information 

General objectives 

General  Objective  1: The  Partnership  Instrument  shall  support  measures  that  respond  in  an  effective  and  flexible  manner  to 

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objectives  arising  from  the  Union's  bilateral,  regional  or  multilateral  relationships  with  third  countries  and  address  challenges  of 
global concern, or ensure an adequate follow-up to decisions taken at multilateral level. 
Indicator 1: Number of new relevant instruments and / or negotiation processes launched / on-going with EU's strategic partners, 
regional organisations and at multilateral level 

Baseline 
2014* 
Relevant existing instruments (e.g. agreements, declarations, 
action plans) and negotiation processes ongoing  with EU’s 
strategic partners,  regional organisations and at multilateral level 
* Data sources: PI website: http://ec.europa.eu/dgs/fpi/what-we-do/partnership_instrument_en.htm 

Milestones 
2017 
4 

2015 
0 

2016 
2 

2018 

2019 

Target 2020 

10 

As regards the indicators presented in this section, latest data available are provided. It is to be noted that PI can contribute to most 
indicators  only  in  a  long-term  perspective,  through  the  processes,  dialogues  and  cooperation  that  are  enabled  through  PI 
cooperation. Therefore, the PI core outcome indicators introduced in 2016 are considered to provide a more realistic and relevant 
information on PI performance. PI actions fund activities and deliver outputs in order to achieve outcomes in terms of influence 
over (often political) processes. Some of the main outcomes are measured by the newly developed PI outcome indicators (see box 
hereunder).  

Core PI outcome indicators 

The aim of outcome indicators is to measure the influence which the action is having on some kind of process or on behaviour of 
the target groups. Process" is used as a generic term for any line of action, position, policy development in a partner country or in a 
mutual relationship. 

PI actions aim to influence or initiate some processes (outcome), often political, in order to create enabling conditions for a change 
(impact).  Normally  there  will  be  a  process  under  way,  or  which  needs  to  be  developed,  and  which  may  ultimately  lead  to  the 
desired change in the longer term. This process may need to be initiated, or moved forward in some way, or perhaps enhanced  to 
improve the  chances of  the action contributing to a desired impact. The outcome  that  the actions aim  to contribute to is that the 
process  is  indeed  improved  which  in  the  longer  term  may,  other  things  being  equal,  lead  to  some  impact  such  as  a  strategic 
partnership,  or  an  agreement  on  migration,  or  a  policy  having  the  potential  to  contribute  to  the  reduction  of  greenhouse  gas 
emissions, or improved options for trade, or a better understanding of the EU and its place in the world. 

The  "instruments"  counted  in  the  table  above  consist  mainly  of  agreements,  declarations  and  action  plans.  The  EU  has  to  date 
signed Strategic Partnership agreements with 10 countries (Brazil, Canada, China, India, Japan, Mexico, the Republic of Korea, the 
Russian Federation, South Africa and the U.S.A.). 

In the framework of the Strategic Partnership agreement, or in addition to it, the EU often concludes bilateral agreements with these 
countries. Bilateral agreements traditionally contain three pillars: cooperation, trade and economic relations and political dialogue. 
These  agreements  vary  in  scope,  content  and  level  of  ambition/engagement  e.g.  Free  Trade  Agreements,  Partnership  and 
Cooperation Agreements, Association Agreements, visa liberalisation agreements. The PI will facilitate the implementation of such 
agreements, which are often materialised through Memoranda of Understanding, letters of intent, joint strategies and action plans.  
Information  on  developments  in  the  negotiation  and  conclusion  of  these  processes  will  be  obtained  directly  from  EU  internal 
sources (i.e. EEAS and Commission services involved) and from data sources relevant for the strategic partners, including relevant 
websites. 

Specific objectives 

Specific Objective 1: To support the Union's bilateral, regional and inter-regional cooperation partnership strategies, by promoting 
policy dialogues and by developing collective approaches and responses to challenges of global concern. 
Indicator  1: Progress  made  by  key  partner  countries  in  the  fight  against  climate  change  or  in  promoting  the  environmental 
standards of the Union, as measured by the following sub-indicators: 
The specific objective 1 is reflected by five core PI outcome indicators. Values captured for these indicators demonstrate that the 
instrument has already delivered important results. At state-level and at sub-state level, the PI has influenced 26 processes. It has 
also influenced 13 processes related to non-state level partnerships. Additional 10 processes were influenced in relation to partner 
country  approaches  related  to  challenges  of  global  concern  and  2  processes  as  regards  partner  country  approaches  related  to 
challenges of global concern. 

PI Outcomes (cumulative 2014-2017)469 

OC4701: Number of processes related to state-level and sub-state level (bilateral, regional, multi-lateral) partnership strategies and 
policy dialogues which have been influenced. 

OC2: Number of processes related to non-state level partnership/agreements which have been influenced 

OC3: Number of processes related to partner country approaches to challenges of global concern which have been influenced. 

469 See footnote no. 1 
470 "OC" stands for Outcome. 

Number 

26 

13 

10 

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OC4: Number of processes related to partner country practices on challenges of global concern which have been influenced 

OC5: Number of processes related to the positions partner countries take in the run-up to or during regional/international fora which 
have been influenced 

DB2019 

2 

0471 

Examples of actions: 
=> The action "Resource Efficiency Initiative – India" (AAP 2015) contributed to support the EU's environment policy dialogues 
with India including through developing a draft national strategy on Resource Efficiency shared with the relevant government think 
tank and supporting the participation of India to the World Circular Economy Forum. 

=> The action "Clean Energy Cooperation with India" (Policy Support Facility, AAP 2014) has allowed the EU to vivify the EU-
India high level energy dialogue by implementing concrete activities on the ground that underpin the policy engagement. The off 
shore wind component of the action has clearly contributed to the development of this renewable energy source in India for which 
the European Investment Bank is keen to provide financing for a first pilot plant. 

=> The action "EU in Multilateral Asia" (AAP 2015 has supported high-level official meetings as  well as second-track dialogue 
mechanisms,  such  as  conferences,  workshops  and  seminars,  with  ASEAN,  ASEAN  Regional  Forum  and  Asia-Europe  Meeting 
partners to enhance the EU's role and involvement within each of the fora and the region in general. The project has also supported 
a series of communication and visibility activities and products to raise the visibility of EU-Asia cooperation.  

=>  The  action  "Economic  Empowerment  of  Women  in  Japan"  (Policy  Support  Facility,  AAP  2015),  supported  a  High  Level 
Seminar  (HLS)  on  the  economic  empowerment  of  women  and  a  EU-Japan  comparative  analysis  on  economic  empowerment  of 
women. It contributed to deepen the partnership with Japan by responding to a request to exchange information and experiences 
with the EU on gender issues as expressed in the 2015 EU-Japan Summit. A survey conducted in the margins of the HLS found that 
following the conference, 83% of the participants will most likely take action to economically empower women  

=> Legal and Illegal Trade in Wildlife Species between the EU and Mexico (Policy Support Facility, AAP 2015): Comprehensive 
analysis  of  the  trade  of  CITES  (the  Convention  on  International  Trade  in  Endangered  Species  of  Wild  Fauna  and  Flora)  listed 
species between Mexico and the EU (whether legally or illegally traded), in order to pave the way towards the development and 
implementation of actions  to ensure their conservation, and guarantee  that their trade is legal,  sustainable and traceable. Provide 
analysis on trade of CITES listed species between Mexico and the EU. 

Sub-indicator 1a - Operating Emissions Trading Schemes for greenhouse gas mitigation (ETS) outside the EU/EEA (at city, 
regional, country or multi-country level) 

Baseline 
2014* 

15 

2015 
18 

16 

2016 
20 

18 

Milestones 
2017 
21 
Actual results 
20 

2018 
22 

2019 
24 

Target 2020 

26 

* Data source: https://icapcarbonaction.com – International Carbon Action Partnership (ICAP), Status Report –annual report 
Baseline data – ICAP Status Report 2015 (providing data for 2014) 
Data for 2015 – ICAP Status Report 2016 
Data for 2016 – https://icapcarbonaction.com – interactive map 
Data for 2017 – https://icapcarbonaction.com 

Sub-indicator 1b -  Share of renewables in total energy production in the 9 strategic partners 

Baseline 
2014* 

Brazil: 44% 
Canada: 11% 
China: 13% 
India: 39% 
Japan: 80% 
Republic of Korea: 8% 
Mexico: 8% 
Russian Federation: 1% 
USA: 8% 

2015 
Increase 
in share % 

2016 
Increase 
in share % 

Milestones 
2017 
Increase 
in share % 
Actual results 

2018 
Increase 
in share % 

2019 
Increase 
in share % 

Target 2020 

Brazil: 43% 
Canada: 10% 
China: 10% 
India: 38% 
Japan: 76% 
Republic of Korea: 
8% 
Mexico: 8% 
Russian 
Federation: 1% 
USA: 7% 

Data not yet 
available** 

Increase in share by at least 10% in 
each strategic partner 

* Data source: http://energyatlas.iea.org/?subject=-1076250891 (Data for baseline (2014) extracted on 27 January 2017. Last data available 2015) 
** The data will be available 3 years after the reference year. 

Sub-indicator 1c -  CO2 emissions from fuel combustion in the 9 strategic partners 

Baseline 

Milestones 

Target 2020 

471  The  number  of  outcomes  achieved  under  OC5  is  lower  than  reported  the  last  year.  This  is  due  to  an  additional  quality  review  of  the  evidence  of  achieved 
outcomes performed during the latest data collection. This quality review led to some revisions as to under which precise indicator the outcome is recorded and in 
some cases also to a stricter interpretation which resulted in the decrease in number of outcomes previously reported. 

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2014* 

20979,55 Mt CO2 

2015 
Reduction by 
1% 

2016 
Reduction by 
3% 

2017 
Reduction by 
3% 
Actual results 

2018 
Reduction by 
4% 

2019 
Reduction by 
5% 

Reduction by 6% 

20728,3 

Data not yet 
available** 

* Data source: http://energyatlas.iea.org/?subject=1378539487 (Data for baseline (2014) extracted on 27 January 2017. Last data available 2015) 
** The data will be available 3 years after the reference year. 

Sub-indicator 1d -  Number of local and regional authorities signing the Covenant of Mayors 

Baseline 
2014* 

6 270 

2015 
- 

2016 
7 000 

Milestones 
2017 
7 600 
Actual results 

6 750 

7193 

7747 

2018 
8 100 

2019 
9 000 

Target 2020 

4,000 new cities in at least 30 
countries have joined the cooperation 
in the field of sustainable energy 
(Global Covenant) 

* Data source: http://www.covenantofmayors.eu/index_en.html, data for 31/12 of each year provided directly by the Covenant of Mayors Office. 

Expenditure related outputs 

Actions funded in the field of global challenges and policy support under the Annual Action Programme*  19 05 01 
* The precise number of actions and budget will be confirmed upon adoption of the Annual Action Programme. 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

10 

55 

Output 

Number of outputs foreseen (F) and produced (P) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Actions  funded  in  the  field  of  global  challenges  and  policy  support 
under the Annual Action Programme 

F 

P 

7 

8 

7 

9 

7 

11 

8 

8 

8 

10 

8 

Specific Objective 2: Implementing the international dimension of "Europe 2020 - A strategy for smart, sustainable and inclusive 
growth". 
Indicator 1: Uptake of the "Europe 2020" strategy by key partner countries, as measured by the following sub-indicators: 
The  Specific  Objective  2  is  reflected  by  two  core  PI  outcome  indicators.  The  data  collected  demonstrate  that  the  PI  is  effective 
especially  in  influencing  partner  country  approaches  that  are  beneficial  to  the  achievement  of  the  Europe  2020  strategy  (7 
processes). To date, one practice of a partner country has been influenced and this number is expected to increase in the future. 

PI Outcomes (cumulative 2014-2017) 

OC6: Number of processes related to partner country approaches beneficial to the achievement of the Europe 2020 strategy which 
have been influenced 

OC7: Number of processes related to partner country practices beneficial to the achievement of Europe 2020 strategy which have 
been influenced 

Number 

7 

1 

Examples of actions that demonstrate the outcome: 
=> The action "International Urban Cooperation Programme" (AAP 2015) implemented city-to-city cooperation between the EU 
and  target  countries  in  Asia  and  the  Americas  in  the  context  of  the  New  Urban  Agenda  and  in  support  of  EU  regional  policy 
engagement.  It  helped  to  facilitate  the  EU-China  high-level  dialogue  on  Sustainable  Urban  Development  that  took  place  in  the 
framework  of  the  EU-China  Summit  2017,  and  enabled  .mutually  beneficial  economic  cooperation  between  Chong  Qing,  China 
and  Mannheim,  Germany  on  the  Chinese  Belt  One  Road  initiative  to  develop.  In  addition,  the  action  has  been  instrumental  in 
taking forward EU climate leadership by putting in place  national and regional covenants of mayors' initiatives in support of city 
and local authority climate action.  

=> The action "EU-China dialogue on migration and mobility" (AAP 2014) has continued to deliver positive results in support of 
the  EU-China  dialogue  on  migration  and  mobility.  Concretely,  the  action  has  increased  awareness/knowledge  on  policies  and 
practices  of  labour  migration  strategies  as  well  as  on  the  potential  and  scope  of  EU-China  labour  migration.  It  has  enhanced 
knowledge  on irregular  migration and addressing human trafficking  while adhering to international  standards and best practices, 
and supported exchange and knowledge enhancement on the practicalities of addressing returns and reintegration of migrants from 
the EU.  

=>  The  "Transatlantic  Marine  Protected  Areas  project"  (AAP  2014)  which  aims  to  promote  broader  transatlantic  cooperation 
through  twinnings  of  marine  protected  areas,  contributed  to  the  decision  of  the  Convention  for  Cooperation  in  the  Protection, 
Management  and  Development  of  the  Marine  and  Coastal  Environment  of  the  West  and  Central  African  Region  (COP  12  – 
Decision CP 12/20) to develop transatlantic cooperation linked with articles 10 and 11 of the  Convention on erosion and marine 

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2017 
25 
Actual results 
0 

Milestones 
2017 
8 
Actual results 
0 

P r o g r a m m e   S t a t e m e n t s  

DB2019 

conservation in the Atlantic coasts of Africa.  The action has also fed into the establishment of a new global Marine Protected Area 
network (IMPANA) launched during the International Marine Protected Areas Conference (IMPAC4) in Chile in September 2017.  

Sub-indicator 2a -  Number of cities that have signed new bilateral or multilateral agreements on sustainable urban development 

Baseline 
2014* 

0 

2015 
0 

2016 
6 

2018 
47 

2019 
64 

Target 2020 

At least 84 cities in at least 7 
strategic partners 

0 
* Data source:  PI monitoring reports 
The progression over the years is cumulative. The start of PI action supposed to contribute to this indicator was postponed and implementation 
started only in 2017. No performance information is available yet. 

0 

Sub-indicator 2b  - Number of regions that have signed new bilateral or multilateral agreements on innovation 

Baseline 
2014* 

0 

2015 
0 

2016 
6 

2018 
11 

2019 
15 

Target 2020 

At least 18 regions /provinces 
worldwide 

0 
* Data source:  PI monitoring reports 
The progression over the years is cumulative. The start of PI action supposed to contribute to this indicator was postponed and implementation 
started only in 2017. No performance information is available yet. 

0 

Sub-indicator 2c -  Number of international agreements on Migration and Mobility signed with the strategic partners 

Baseline 
2014* 

15 

2015 
15 

15 

2016 
15 

15 

Milestones 
2017 
17 
Actual results 
15 

2018 
17 

2019 
19 

Target 2020 

20 

* Data source: https://myintracomm.ec.europa.eu/dg/home/policy/legal/Pages/International-agreements.aspx (Data extracted on 25 January 2018). 

Sub-indicator 2d -  Average worldwide level of implementation of international safety standards in civil aviation 

Baseline 
2014* 

62% 

2015 
62% 

2016 
62% 

63% 

Data n.a. 

Milestones 
2017 
62% 
Actual results 
64,7% 

2018 
63% 

2019 
63% 

Target 2020 

Increase by at least 5% 

* Data source: Based on the assessment done by the Universal Safety Oversight Audit Programme (USOAP) and available through International Civil Aviation 
Organization (ICAO) annual Safety Reports (Last data available for 31/05/2017 and extracted on 25 January 2018 – Safety Report 2017, 
https://www.icao.int/safety/Documents/ICAO_SR_2017_18072017.pdf) 
A small correction was performed for the baseline and for the figure reported for 2015 as data presented in annual reports always refers to preceding year. 

Expenditure related outputs 

Actions funded in the field of global challenges and policy support under the Annual Action Programme*  19 05 01 
* The precise number of actions and budget will be confirmed upon adoption of the Annual Action Programme. 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

5 

25 

Output 

Actions  funded  in  the  field  of  global  challenges  and  policy  support 
under the Annual Action Programme 

F 
P 

2014 
3 
5 

Number of outputs foreseen (F) and produced (P) 
2017 
3 
6 

2016 
3 
4 

2015 
2 
3 

2019 
5 

2018 
3 

2020 
3 

Specific  Objective  3: Improving  access  to  third  country  markets  and  boosting  trade,  investment  and  business  opportunities  for 
European companies, while eliminating barriers to market access and investment, by means of economic partnerships, business and 
regulatory cooperation. 
Indicator 1: EU share in foreign trade in goods and services of 9 strategic partners 
The Specific Objective 3 is about improving conditions for accessing partner country markets and support economic partnerships. 

Four core PI outcome indicators reflect the goals pursued under this specific objective and show 6 relevant results. There have been 
3  processes  influenced  as  regards  partner  country  practices  on  trade,  investment  and  business  and  other  2  processes  influenced 
related  to  the  removal  of  barriers  to  market  access,  investment  and  business.  One  process  concerned  the  negotiation, 
implementation or enforcement of EU trade and investment agreements with partner countries. 

PI Outcomes (cumulative 2014-2017) 

Number472 

OC8: Number of processes related to partner country practices on trade, investment and business which have been influenced 

3 

472 The numbers recorded for OC8 and OC10 are lower than the last year. This is due to an additional quality review of the evidence of achieved outcomes 
performed during the latest data collection. This quality review led to some revisions as to under which precise indicator the outcome is recorded and in some cases 
also to a stricter interpretation which resulted in the decrease in number of outcomes previously reported. 

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OC9:  Number  of  processes  related  to  the  removal  of  barriers  to  market  access,  investment  and  business  which  have  been 
influenced 

OC10:  Number  of  processes  related  to  the  negotiation,  implementation or  enforcement  of  EU  trade  and  investment  agreements  
with partner countries which have been advanced 

OC11:  Percentage  of  EU  companies  which  acknowledge  a  positive  change  in  their  perception  of  the  business,  trade  and 
investment climate in partner countries 

2 

1 

n/a 

Examples of actions: 
=> The EU Gateway | Business Avenues programme (AAP 2014 and 2015) has established a common monitoring methodology for 
assessing its contribution to the market entry to third markets. During 2016-2017, 15 business missions to China, Japan, Korea and 
South East Asia were conducted. In total 575 European companies participated and  engaged into B2B with some 8,300 potential 
business partners in the above markets. 

=>  Supported  through  TAIEX  actions,  the  EU  engages  with  Iran  on  a  continued  basis  through  policy  dialogues  combined  with 
technical cooperation activities funded under the Partnership Instrument. During 2017, a number of concrete actions took place in 
Iran at technical level supporting exchange between Iran and the EU on the environment (circular economy, water management and 
air pollution); technical events under the EU TAIEX* scheme on subjects such as air pollution, nano-safety, anti-money laundering 
and fraud; as  well as ensuring the  participation of 8 international experts at the 2nd  high level  seminar on International Nuclear 
Cooperation and Governance Esfahan. 

=> Understanding Legal Economic  Reform: The aim is to support the EU trade and investment agenda and to influence China's 
policy-making process. Through its Policy Support Facility (PSF), provision of expertise to follow, translate and analyse legislative 
and  policy  documents  related  to  economic  reform  developments  for  the  benefit  of  EU  Delegation,  line  DGs,  Trade  Counsellors 
with the objective of enhancing the understanding of the current process of Chinese economic reform.  

=>  Assessment  of  FTA  Implementation  and  its  Effectiveness  on  EU  Business  Operators  and  Consumers  in  Korea:  a  PSF  Study 
focused on the qualitative analysis and assessment of EU business operation in Korea, and of the benefits for Korean consumers.  
The project includes two conferences serving as a main platform for launching the study, in combination with the celebration event 
of the 5th anniversary of the FTA implementation, and for showcasing the results. 

Baseline 
2013* 

2014 

2015 

Milestones foreseen 

2016 

2017 

2010: 18,1% 
2011: 17,8% 
2012: 17,4% 
2013: 17,0% 

Maintain share  Maintain share  Maintain share  Maintain share 

Actual results 

2018 
Possible 
increase in 
share 

2019 
Possible 
increase in 
share 

Target 2020 

Overall increase in 
share 

17,3% 

16,7% 

17,6% 
* EU share in Brazil, Mexico, US, Canada, Russian Federation, India, China, Japan and Republic of Korea total foreign trade in goods and services (imports + 
exports) (N.B.: these figures don't measure these countries' share in EU foreign trade). Data for all values extracted on 22 January 2018. 
As from 2010, the reporter is EU-28 for both trade in goods and trade in services. 
As from 2010, the data for both trade in goods and trade is services is calculated according to BMP6 (Balance of Payments and International Investment Position 
Manual) methodology. 
Data source:  COMEXT/IMF  (http://ec.europa.eu/eurostat/web/international-trade/data/database)  for  trade  in  goods  -  first data published approximately  in  July  of 
year n+1. WTO/EUROSTAT for trade in services – first WTO data published in April of year n+1, preliminary EUROSTAT data published approximately in June 
of year n+1 and complete EUROSTAT data published approximately in December of year n+1. 

Data n.a. 

Indicator 2: EU investments flows from/to 9 strategic partners 

Baseline 
2013* 

2014 

2015 

Milestones foreseen 

2016 

2017 

EU Foreign Direct 
Investment 
- Inward flows: 396.2 
billion EUR 
- Outward flows: 406.5 
billion EUR 

Maintain FDI 
flows 

Maintain FDI 
flows 

Maintain FDI 
flows 

Maintain FDI 
flows 

Actual results 

- Inward flows: 
44.6 billion EUR 
- Outward flows: 
37.7 billion EUR 

- Inward flows: 
376.1 billion 
EUR 
- Outward flows: 
504.4 billion 
EUR 

- Inward flows: 
170.3 billion 
EUR 
- Outward flows: 
37.5 billion EUR 

Data not yet 
available 

2018 
Possible 
increase in FDI 
flows 

2019 
Possible 
increase in FDI 
flows 

Target 2020 

Increase FDI flows in 
parallel with global 
economic growth 

** Until 2012 the reporter was the EU-27 and the data were calculated according to BMP5 (Balance of Payments and International Investment Position Manual) 
methodology. The figures as from 2013 use the reporter of EU-28 and are calculated according to BPM6. Data for all values extracted on 11 January 2018. 
Data source: EUROSTAT (http://ec.europa.eu/eurostat/statistics-explained/index.php/Foreign_direct_investment_statistics), preliminary data for selected countries 
published in June of year n+1; data with complete geographical breakdown are foreseen in December of year n+1. 
Note: Foreign direct investment (FDI) flows are highly volatile. The sharp decrease in flows in 2014 is mainly due to two-way drop of FDI with the USA. 

Expenditure related outputs 

Outputs 

Actions funded to support and increase EU’s position on the world scene in terms of trade and foreign 
investment 

Budget line 

Draft Budget 2019 
Number  EUR million 

19 05 01 

8 

37 

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* The precise number of actions and budget will be confirmed upon adoption of the Annual Action Programme. 
Number of outputs foreseen (F) and produced (P) 

Outputs 

Actions  funded  to  support  and  increase  EU’s 
position on the world scene in terms of trade and 
foreign investment 

F 

P 

2014 
5 

5 

2015 
5 

5 

2016 
5 

6 

2017 
4 

2 

2018 
4 

2019 
4 

2020 
4 

The Partnership Instrument  will build on the  experience gained  with the ICI to support EU trade overall objectives by  financing 
measures to improve market access and develop trade, investment and business opportunities. With its global reach, the PI supports 
in particular the opportunities arising from the Free Trade Agreements (FTAs) negotiated and the ones under negotiation. It will be 
instrumental in supporting trade policy (COM/2010/612 - "Trade, Growth and World Affairs - Trade policy as a core component of 
the EU's 2020 Strategy"), in particular as regards the strategic economic partners. 

Specific Objective 4: Enhancing widespread understanding and visibility of the Union and its role on the world scene by means of 
public  diplomacy,  people  to  people  contacts,  education/academic/think  tank  cooperation  and  outreach  activities  to  promote  the 
Union's values and interests. 
Indicator 1: EU visibility 

Baseline 

See result 
2015 

2014 
n/a 

n/a 

2015 

Milestones 
2016 

2017 

2019 

Target 2020 

2018 
Maintain  high  visibility  in 
Strategic  Partner  Countries 
(SPC)  where  EU  is  highly 
visible  and  improve  where 
less visible. 

Actual results 

Brazil – Visible 93%, Not 7% 
Canada – Visible 87%, Not 13% 
China – Visible 95%, Not 5% 
India – Visible 93%, Not 7% 
Japan – Visible 76%, Not 24% 
Mexico – Visible 97%, Not 3% 
Russia – Visible 93%, Not 7% 
South Africa – Visible 85%, Not 15% 
Republic of Korea – Visible 92%, Not 8% 
USA – Visible 88%, Not 12% 

n/a 

n/a 

Maintain high 
visibility in SPC 
where EU highly 
visible and improve 
where less visible. 

*  Measured  through public  opinion  poll  in  10  Strategic  Partner  Countries  (Brazil,  Canada,  China,  India,  Japan, Mexico,  Russia,  South  Africa, 
Republic of Korea, and USA. The results of the poll is not available to public. 
The specific objective 4 is about enhancing and widening understanding and visibility of the EU and of its role on the world scene. This indicator 
will not be measured annually. 
Three core PI outcome indicators reflect the goals pursued under the specific objective. Indicators OC13 needs to be collected via surveys around 
6 months after participation in an event in order to measure a longer-term change. Since this indicator was added only in autumn 2017 and they 
were asked to integrate the indicators into their monitoring systems only between October 2017 and March 2018, the implementing partners did 
not commonly collect such information. It is expected that data will be available for the next reporting exercise. 

OC12 Percentage of participants targeted by outreach and advocacy events who acknowledge a positive change in their perception 
of the EU and/or international policies and standards 

PI Outcomes (cumulative 2014-2017) 

Number 

84% 

OC13 Percentage of participants targeted by outreach and advocacy events who acknowledge having engaged further on the topic 
on their own initiative as a result of their exposure to an event 

No data 
available 

OC14 Number of articles published in print and/or digital media about an event 

356 

Example of actions: 

=> Under the action "EU Policy and Outreach Partnership" (AAP 2015), a high brand awareness of the EU have been developed 
among targeted audiences in Singapore, Indonesia, Central and South America. 

=> Under the action "Cultural Diplomacy Platform' (AAP 2015) increased mutual understanding through intercultural dialogue and 
facilitated future cooperation among cultural operators from the EU and the EU strategic partner countries through the organisation 
of the second edition of the Global Cultural Leadership Training and cultural events in China (EU-China capitals of culture) and in 
India (International book fair – EU as guest of honour). 

=>  In  2017,  several  actions  with  India,  Canada  and  South  Korea  dedicated  to  Public  Diplomacy  efforts  were  contracted,  thus 
contributing to build mutual trust and understanding between the EU and the partner country, while enhancing the ability of the EU 
to engage with target audiences.  Under the 'civil society engagement', grants were awarded to CSO organisations in India and in 
the  US  in  view  of  establishing  or  enhancing  dialogues  between  civil  society  actors  and  local,  national,  regional  or  international 
institutions on policy areas of common interest to the EU and its partner countries. 

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Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 
Number  EUR million 

Education  /  academic  cooperation  (covered  by  a  PI-specific  "Erasmus  +"  Multi-annual  Indicative 
Programme) 
Actions funded in the area of public diplomacy, people to people contacts and outreach activities 
Total 
* The precise number of actions and budget will be confirmed upon adoption of the Annual Action Programme. 

19 05 20 

19 05 01 

1 

4 
5 

12,5 

18,7 
31,2 

Outputs 

Education / academic cooperation 

2015 
1 
1 
- 
Actions funded in the area of public diplomacy, 
people to people contacts and outreach activities 
1* 
*  For  public  diplomacy,  formally  only  one  action  fiche  is  part  of  AAP  2015,  AAP  2016  and  AAP  2017.  Nevertheless,  each  action  fiche  has 
contained several specific actions (respectively, 13, 7 and 5 besides 1 action in the field of education/academic cooperation). 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
3 
1* 

2016 
1 
1 
At least 7 
1* 

2014 
1 
1 
- 
1 

2020 
1 

2018 
1 

2019 
1 

F 
P 
F 
P 

2 

3 

2 

5. Programme contribution to the Sustainable Development Goals 

PI contributes to the achievement of the following SDGs:  
 
 
 

gender equality and the empowerment of women and girls under SDG 5  
contributing to ensuring access to affordable, reliable, sustainable and modern energy for all under SDG 7 
promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all 
(SDG8). 
contribute to the implementation of the New Urban Agenda and SDG 11 (inclusive, safe, resilient and sustainable cities).  
contributing to taking urgent action to combat climate change and its impacts under SDG 13. 

 
 

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HEADING 4: Global Europe 

European Instrument for Democracy and Human Rights (EIDHR) 
Lead DG: DEVCO 
Associated DGs: FPI 

I. Programme Overview 

What the programme is about? 

The EIDHR is a programme designed to help civil society to become an effective force for political reform and defence of human 
rights. Building on its key strength, which is the ability to operate without the need for host government consent, the EIDHR is able 
to  focus  on  sensitive  political  issues  and  innovative  approaches  and  to  cooperate  directly  with  local  civil  society  organisations 
which need to preserve independence from public authorities, providing for great flexibility and increased capacity to respond to 
changing circumstances. 

The  programme  aims  at  enhancing  the  protection,  promotion,  implementation  and  monitoring  of  human  rights  and  fundamental 
freedoms,  mainly  through  support  to  relevant  civil  society  organisations,  human  rights  defenders  and  victims  of  repression  and 
abuse. At the same time, the EIDHR works towards consolidation of democracy in third countries, by enhancing participatory and 
representative  democracy,  strengthening  the  overall  democratic  cycle,  the  rule  of  law  and  improving  the  reliability  of  electoral 
processes. The EIDHR views the human rights and democracy agendas as intrinsically interlinked.  

The EIDHR is intended as a 'niche' instrument and is thus particularly geared towards addressing the most difficult human rights 
situations and protecting human rights and democracy activists at risk, supporting some of the selected key human rights actors and 
processes,  and  acting  in  areas  where  the  EU  has  a  special  interest  and  offers  added  value  (e.g.  fight  against  the  death  penalty, 
promoting sound electoral processes).  

The EIDHR-financed Election Observation Missions (EU EOMs) contribute to projecting EU values of democracy and rule of law 
outside the European Union and they have become an important flagship of EU foreign policy. Furthermore, EOMs constitute an 
example of inter-institutional cooperation between the European Commission, the European External Action Service (EEAS) and 
the European Parliament. The EEAS is responsible for programming and political steer, whereas the European Commission is in 
charge of the operational, financial and security-related aspects of election observation. 

EU added value of the programme 

Given its accomplishments in conflict resolution, peace building and the creation of prosperity, the EU is in an excellent position to 
deliver on  external action, on behalf of and  with its Member States, generally enjoying  high credibility in the countries  where it 
works. It is well placed to take on the role of a global leader on behalf of its citizens, in particular in its support and promotion of 
democracy and human rights. European added value is much larger than suggested by purely balance sheet approach: contributing 
to  peace  building  worldwide,  assisting  the  world's  poorest  people  and  supporting  democracy  and  respect  for  human  rights  are 
indisputable demonstrations of how the EU adds value through its work every day. 

Due to its scale and remit, the EIDHR can deliver help worldwide, including the world's most remote areas, hereby enhancing the 
strategic reach of Member States, especially in cases when their presence is limited and therefore the capacity to act is reduced. The 
EIDHR is also designed to act primarily in those areas where the EU as a whole has a special interest and offers added value, such 
as the fight against the death penalty, torture or impunity or promoting the EU values of democracy and rule of law.  

Election  Observation  Missions  EOMs)  are  led  by  a  Chief  Observer,  (Member  of  the  European  Parliament,  MEP).  In addition,  a 
Delegation of the European Parliament composed of MEPs is  deployed to the partner country to observe the Election Day and is 
fully embedded in the EOM. The European Parliament is consulted on the annual list of priority countries for election observation. 
The EU Member States also play a crucial role as they are, via their respective Focal Points for election observation, responsible for 
the pre-selection of the EU Observers. Member States are also consulted on the establishment of the yearly priority list for election 
observation. 

II. Programme Update 

Implementation status (2014-2017) 

The EIDHR Programme implementation has been executed as foreseen in the first four years of the 2014-2020 MFF. All activities 
of the 2014, 2015 and 2016 budget have been carried out or are currently ongoing, as well as the activities of the 2017 budget that 
were planned to start in 2017. There have been no specific delays or problems in executing the 2014, 2015. 2016 and 2017 Work 
Programmes. 
A  first  Multiannual  Indicative  Programme  (MIP)  was  adopted  for  the  period  2014-2017473.  While  a  Special  Measure474  and  an 
Annual  Action  Programme475  framed  the  initiatives  to  be  implemented,  respectively  for  2014  and  2015,  a  Multiannual  Action 
Programme (MAP) had established the work programme for years 2016 and 2017476. 

473 Commission Implementing Decision C(2014) 7529 final of 21.10.2014 

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The 2014-2017 programmes maintained the achieved worldwide coverage, a key added-value of the EIDHR.  Their actions can be 
regrouped in five axes of work along the specific objectives of the instrument:  

1)  Reinforcing  the  EU's  capacity  to  address  the  most  difficult  situations,  to  react  quickly  to  human  rights  emergencies  and  to 
support Human Rights Defenders in situations where they are most at risk.  

Under  this  axe,  a  comprehensive  EU  Human  Rights  Defenders  Mechanism  addressing  the  situations  faced  by  human  rights 
defenders at risk worldwide (EUR 15 million) has been established; the Human Rights Crises Facility (EUR 11.5 million) designed 
to address countries and urgency situations where human rights and fundamental freedoms are most at risk and where disrespect for 
those rights and freedoms is  particularly pronounced and systematic  has been  set up; and the  EIDHR Emergency  Fund allowing 
rapid  support through  targeted  low-value grants to individual human rights defenders in emergency situations (EUR 3.6 million) 
has been maintained.  

2) Supporting local civil society organisations on the ground in promoting other human rights priorities of the European Union. 

Under this priority,  nearly 1000 civil society initiatives in  the area of human rights and democracy  support  have been supported 
worldwide through the EIDHR Country-Based Support Scheme (EUR 250.8 million) In addition, three Global Calls for proposals 
(EUR 82.9 million) covering in parallel five main EU priorities in the field of human rights, allowing for a more long-term response 
in each area, have been implemented.  

3) Supporting democracy  

The  Democracy  Initiative  accompanying  the  Democratic  Pilot  Exercise  under  the  EU  Strategic  Framework  and  Action  Plan  on 
Human  Rights  and  Democracy  was  launched,  through  an  umbrella  programme  to  support  EU  Delegations  in  the  areas  of  civil 
society  participation  and  support  to  media  (EUR  4.6  million  in  2015  and  EUR  4.4  million  in  2016).  In  2017,  a  programme  to 
support political parties (EUR 4.4 million) focusing on (i) the  participation of women and (ii) intra-party governance systems and 
inter-party dialogues, across five different projects in ten countries, was put in place.  

4) Contributing to increasing transparency and trust in the electoral process by means of Electoral Observation Missions (EOMs). 

During the period 2014-17, 29 fully-fledged EOMs and 32 Exploratory Missions, 1 Election Assessment Team, 34 Election Expert 
Missions, and 12 Election Follow-Up Missions were deployed and 4 studies carried out (EUR 166.5 million).  

5) Strengthening some of the international, regional and national actors and mechanisms that are key for the promotion of human 
rights and the rule of law worldwide; 
Support  has  been  provided  to  key  human  rights  players,  such  as  the  UN  Office  of  the  High  Commissioner  for  Human  Rights 
(OHCHR), the International Criminal Court (ICC), the National Human Rights Institutions (NHRIs), or the 'Global Campus' higher 
education network which opened its 7th regional network during 2014 in the MENA region. 

Key achievements  

Since  2014,  the  programmes  have  been  built  on  the  EIDHR’s  added-value,  namely  its  independence  of  action  allowing 
interventions  in  the  most  difficult  country  situations  (worldwide)  and  without  the  consent  of  the  host  government,  creating 
synergies and complementarity where geographical instruments could not act. The EIDHR allows for unique actions not covered by 
other  instruments,  such  as  in  cases  of  serious  human  rights  violations  or  urgent  need  for  protection,  thematic  advocacy  such  as 
democracy support, fundamental freedoms, or the fight against discrimination, torture or death penalty. 

In difficult contexts, the EIDHR helps weakened or shattered civil society and media survive, thereby opening the door to dialogue 
and change. It focuses on the outreach to disenfranchised civil society organisations. While limited in financial scope, its flexible 
tools  have  worked  very  well  and  are  essential  (e.g.  direct  support  to  human  rights  defenders,  direct  small  grants,  working  with 
informal partners, re-granting). They have been strengthened in the revision of the instrument for 2014-2020. 

According  to  its  2017  mid-term  review,  the  EIDHR  is  generally  efficient  and  responsive  thanks  to  a  relatively  low  level  of 
administrative  expenditure  and  in-built  flexibility.  Improvements  and  simplifications  in  the  programme  management  increasing 
efficiency  and  allowing  economies  of  scale  have  been  put  in  place  since  2014:  (i)  the  restructured  system  for  global  calls  for 
proposals  that  allows  for  a  more  long-term  response  in  each  area  of  the  EU  human  rights  priorities,  (ii)  the  encouragement  of 
including sub-granting schemes in activities and (iii)  more  streamlined management of the EIDHR emergency fund for HRDs at 
risk. 

Some of the key achievements have been: 

  Support to Human Rights Defenders at risk 

For  the  2014-2020  EIDHR,  it  was  decided  in  light  of  the  results  achieved  between  2007  and  2013  to  strengthen  EU  support  to 
Human rights and Human Rights Defenders (HRDs), who play a vital role in the promotion and protection  of human rights. The 
success and performance of the emergency support to HRDs at risk, considered as a flagship of the EIDHR activities, turned into an 
increasing number of requests and support provided in the form of emergency grants, physical/digital protection, legal and medical 
support, urgent relocation/sheltering, training or permanent (24h/7) helpline for human rights defenders at risk. Two programmes in 

474  
475  
476             Commission implementing Decision C(2015) 8548 final of 7 December 2015. 

Commission Implementing Decision C(2014) 5142 final of 24.7.2014 
Commission Implementing Decision C(2015) 2025 final of 1.04.2015 

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particular have contributed to this achievement: 1) The first-of-its-kind EU comprehensive HRD Mechanism set up in 2015, with 
an  unprecedented  budget  of  €15  million  over  three  years,  entitled  ProtectDefenders.eu,  bringing  together  a  consortium  of  12 
independent civil society organisations specialised in HRD support with worldwide coverage; and 2) The EU Emergency Fund for 
HRDs at Risk (EUR 3.6 million) providing fast emergency grants of up to EUR 10,000. In 2017 alone, more than 1 200 HRDs at 
risk were supported by these two programmes.  

The EIDHR Human Rights Crises Facility (EUR 3.5 million per year) was set up in 2014, in order to provide a flexible funding 
modality  to  respond  to  situations  where  there  is  a  serious  lack  of  fundamental  freedoms,  where  human  security  is  most  at  risk, 
where human rights organisations and defenders work in exceptionally difficult conditions and/or where the publication of a call for 
proposals  would be inappropriate.  The  EIDHR Human Rights  Crises Facility (EUR 3.5 million per  year)  was set up in 2014, in 
order to provide a flexible funding modality to respond to situations where there is a serious lack of fundamental freedoms, where 
human security is most at risk, where human rights organisations and defenders work in exceptionally difficult conditions and/or 
where the publication of a call for proposals would be inappropriate. For the annual allocation of EUR 3.5 million, fifteen projects 
have been supported in the Enlargement region, the Eastern and Southern Neighbourhood, Central Asia, Middle East, Sub-Saharan 
Africa, and Asia. Details of grants and countries of operation are confidential but projects have been supported  

  Support to the key EU human rights priorities 

In  2014-2017,  the  Global  Calls  for  proposals  have  been  structured  into  five  recurrent  lots  which  have  covered  respectively  (i) 
Human rights and their defenders where they are the most at risk, (ii) Human Dignity, (iii) Economic, Social and Cultural rights, 
(iv)  Discrimination  and  (v) other  priorities  planned  in  the  multi-annual  programming  or  linked  to  new  unforeseen  areas.  This 
structure has brought in good and predictable coverage of some key issues while still maintaining a good level of flexibility thanks 
to  its  lot  5  and  annual  focus  on  an  annually  defined  sub-area.  For  example,  the  2017  global  call  focused  on  support  to  Human 
Rights  Defenders  in  the  area  of  land-related  rights,  indigenous  peoples,  in  the  context  of  inter  alia  'land  grabbing'  and  climate 
change, fight against extrajudicial killings and enforced disappearances, combating forced labour and modern slavery, support to 
the rights of persons with disabilities, and as an upcoming key issue of concern support to freedom of religion or belief. The Global 
Calls have also allowed to offer support to one of the EU key priority, the fight against the death penalty, which is, however, due to 
lack of expertise and sensitivity of the issue difficult to handle by the EU Delegations. 

  Support to Democracy 

'Supporting Democracy' (EUR 4.6 million) programme, under the umbrella of the Democracy Initiative, focusing on support to the 
EU  Delegations  in  the  areas  of  civil  society  participation  in  democratic  processes.  Achievements  so  far  include  the  Citizen 
Observers Forum in 2016, bringing together 250 domestic observer organisation from all over the world,  facilitating peer to peer 
exchanges  and  promoting  the  Declaration  of  Global  Principles  for  Electoral  Observers,  or  the  launch  of  an  annual  worldwide 
'EU4Democracy' campaign promoting EU support to democracy in partner countries. 
The EIDHR-funded 'V-DEM' is one of the largest democracy indicators-related data collection efforts with a database containing 
over 18 million data points. In 2016, V-Dem received the most prestigious award for comparative datasets in political science: the 
Lijphart/Przeworski/Verba Best Dataset Award presented by the American Political Science Association.  

  EU Election Observation Missions (EOMs) 

EU Election Observation Missions (EOMs) followed the objectives, principles and methodology of electoral observation based on 
over two decades of operational experience with a view to encouraging professionalism and transparency in electoral management, 
discouraging  irregularities  and  abuse,  and  inspiring  public  confidence  in  the  electoral  process.  Therefore,  the  key  programme 
achievements lie in their contribution to the consolidation of democracies in third countries by improving the reliability of electoral 
processes  and  in  the  implementation  of  a  methodology  considered,  as  one  of  the  most  modern  among  those  used  by  other 
international  organisations.  This  methodology  is  based  on  a  comprehensive  and  systematic  observation  of  the  electoral  process 
including inter alia the conduct of public and private media as well as issues linked to campaign financing. 

In terms of achievements based on programme indicators, in 2017, 4 Election Follow-Up Missions (EFM)  were deployed (Peru, 
Malawi, Nigeria and Maldives). They were headed by the former Chief Observer (MEP) and include a limited number of electoral 
experts and staff from EEAS and European Commission with a view to assessing the implementation of recommendations made by 
previous EOMs. These recommendations are included in the EOM's final report and refer to possible improvements in the electoral 
process (i.e. through assistance to the electoral commission and / or changes in the electoral legislation etc.). The EFM tries to give 
fresh  impetus  to  the  debate  between  the  major  electoral  stakeholders  (authorities,  political  parties  and  civil  society)  on  the 
recommendations and future or current electoral reform.  

Priorities  were  decided  in  the  light  of  the  calendar  of  elections,  political  developments  and  resources  available.  A  particular 
emphasis was placed on the role and impact of the EU EOM recommendations to ensure that issues raised are mainstreamed in the 
EU's political dialogue with the country concerned in the framework of a continuous follow-up process. 

In  addition  to  EOMs,  the  European  Commission  deployed  8  Election  Expert  Missions  (EEM)  in  Angola,  Algeria,  Cambodia, 
Honduras,  Kenya,  Myanmar,  Palestine  and  in  Papua  New  Guinea  to  assess  electoral  processes.  The  conclusions  from  these 
missions contributed to the shaping of the Union's political position on developments in the country concerned. They also created 
significant inputs for the political dialogue of the Union with the authorities of the partner country. 

  Support to targeted key actors and processes 

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In order to strengthen the international justice system, the  EIDHR has supported the International Criminal Court  (ICC) (approx. 
EUR  1  million  per  year),  including  through  direct  support  to  the  ICC  outreach  activities  and  global  civil  society  campaigns. 
According to the mid-term review evaluation of EIDHR, the support to the ICC underlines the continued relevance of the EIDHR 
to evolving and emerging challenges.a 
'Global Campus for Human Rights and Democracy' (approx. contribution of EUR 5 million a year) is a unique global network of 
more than 100 universities teaching and promoting human rights and democracy. Supported by the EU/EIDHR from its beginnings, 
the Global Campus confers masters degrees in human rights and democracy on more than 150 students a year, covers seven regions 
in the  world (its 7th regional network in the MENA region in 2014) and represents a beacon of excellence in  human rights and 
democracy education. 

Evaluation/ Studies conducted 

The EIDHR external mid-term evaluation was launched in the second quarter of 2016 and finalised in mid-2017. Key stakeholders 
including  EU  Delegations  were  consulted  and  a  number  of  field  visits  took  place  (Uganda,  Peru,  Pakistan,  Israel,  Palestine).  A 
public consultation took place in the period of 7 February  – 3 May 2017. 
In addition, and building on the external evaluation, the Staff Working Document 477on the Evaluation of the EIDHR accompanying 
the Mid-term review report478 of the External Financing Instruments (Report from the Commission to the European Parliament and 
the Council, COM (2017)720) was prepared and adopted by the College in December 2017. 

The mid-term review  was  generally positive, confirming that the  2014-2017 EIDHR has been successful in  fulfilling its planned 
objectives and has overall proven to be "fit for purpose". It has remained an enabling, flexible and responsive  "niche" instrument 
(thanks to its focus on the most pressing and emerging human rights and democracy challenges), able to operate where the others 
do not or cannot. It has been able to address both well-identified and emerging human rights and democracy challenges, even in the 
most  difficult  environments  –  confirming  that  EIDHR  remains  more  than  ever  relevant  to  the  political  priorities  of  the  EU.  At 
output  level,  there  is  evidence  that  the  EIDHR  is  largely  on  track  to  deliver  on  its  objectives  and  commitments  and  is  already 
effectively delivering results. At outcome level, the measurement of effectiveness is however more difficult (due to the problem of 
attribution  and  missing  strategic  and  operational  indicators  at  instrument  level  in  2014).  While  overall  efficient,  the  call  for 
proposals process which is the norm to select projects is considered lengthy, burdensome and over-competitive by the applicants.   

On 13 December 2017, the Court of Auditors published a Special Report No N°22/2017 “Election Observation Missions  – efforts 
made  to  follow  up  on  recommendations  but  better  monitoring  needed”479.  The  auditors  assessed  whether  the  European  External 
Action Service and the European Commission adequately supported host countries to implement the recommendations made by EU 
Election  Observation  Missions  (EU  EOMs).  After  studying  the  cases  of  Ghana,  Jordan,  Nigeria  and  Sri  Lanka,  the  Court 
acknowledges improvements  on the  follow-up to Election Observation Missions' recommendations in recent  years, including the 
fact that recommendations were increasingly linked to political dialogue and electoral assistance in the partner countries. However, 
the  CoA  still  calls  for  further  improvements,  such  as  a  more  thorough  consultation  of  stakeholders  in  the  host  countries  on  the 
recommendations, as well as clear need to regularly  track progress on implementing EU EOM recommendations. 

Forthcoming implementation (2018-2019)  

Implementation in 2018/2019 will be guided by two multi-annual action programmes: the EIDHR Multiannual Action Programme 
for  2016  and  2017  (MAAP  2016-2017)  was  adopted  by  the  European  Commission  on  7  December  2015480,  and  the  EIDHR 
Multiannual  Action Programme for 2018-2020  which is currently under preparation and is expected to be adopted in the  second 
quarter  of  2018.  A  separate  2018  Annual  Work  Programme  was  adopted  as  a  special  measure  to  address  the  EU  Election 
Observation on 5 December 2017. 

The  EIDHR  MAAPs  2016-2017  and  the  draft  MAAP  2018-2020  are  a  pragmatic  combination  of  targeted  projects  and  calls  for 
proposals, to be managed by both Headquarters and Delegations. Global, regional and local actions will allow maintaining a largely 
comprehensive and coherent implementation involving all actors: civil society (main target) as well as international and regional 
organisations political parties, Parliaments, media, etc..  

Pending the adoption of the draft MAP 2018-2020, the following activities are planned in 2018: 
1.  Continued and strengthened support to human rights defenders, under a small grant emergency fund (foreseen EUR 4 million) 

and a comprehensive CSO-led human rights defenders mechanism (foreseen EUR 5 million) 

2.  Approximately  200  local  calls  for  proposals  managed  by  EU  Delegations  via  Country-based  Support  Schemes  (foreseen 

approx. 82 million EUR);  

3.  One global call for proposals to support various human rights priorities (foreseen EUR 22.million); 
4.  A facility for direct awards to finance actions in the most difficult situations where the publication of a call for proposals would 

be inappropriate (EUR 3.5 million);  

5.  A voluntary contribution to the general budget of the United Nations Office of the High Commissioner for Human Rights (UN 

OHCHR) (foreseen EUR 6.5 million)  

477  Commission Staff Working Document: Evaluation of the European Instrument for Democracy and Human Rights, SWD(2017) 604 final of 15 December 2017. 
478 Report from the Commission to the European Parliament and the Council: Mid-term review report of the External Financing Instruments, COM(2017) 720 final 
of 15 December 2017 
479 https://www.eca.europa.eu/Lists/ECADocuments/SR17_22/SR_ELECTION_OBS_EN.pdf 
480   Commission implementing Decision C(2015) 8548 final of 7 December 2015. 

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6.  One targeted project to support the International Criminal Court (ICC) (foreseen EUR 1 million). 
7.  Public procurement for a global programme to strengthen the capacity of parliaments (EUR 5 million in 2018).  
8.  One  grant  to  support  a  global  and  regional  networks  of  universities  providing  human  rights  and  democracy  postgraduate 

education worldwide (foreseen EUR 4.95 million). 

9.  One targeted project to support the Inter-American Commission for Human Rights (foreseen EUR 1.75 million)  
10.  One grant to support the Indigenous Peoples' Centre for Documentation, Research and Information (DOCIP) (foreseen EUR 2 

million) 

11.  One grant to co-fund the organisation of the World Congress on the Death Penalty which is to take place in 2019 in Brussels 

(EUR 750 000)  

12.  Procurement to support the implementation of the EU Guidelines on Human Rights dialogues (foreseen approx. EUR 300,000) 
13.  Support measures, including a technical assistance programme to  facilitate the implementation of the Rights-based Approach 

to Development (RBA) 

In 2018, it is expected that 23 electoral processes and democratic cycles will be supported, observed and followed-up by means of 
EOMs,  Election  Assessment  Teams  (EATs)  and  EEMs  proposing  recommendations  to  the  host  country,  as  well  as  EFMs  and 
studies.  A  slightly  higher  number  of  24  is  foreseen  for  2019.  Particular  attention  will  be  paid  to  the  follow-up  of  EOM 
recommendations with a view to extending this work beyond the formal EFMs and mainstreaming recommendations into the EU's 
regular bilateral dialogue with the partner countries in line with the recommendations of the Court of Auditors' report of 2017. As is 
the  case  every  year,  in  the  autumn  of  2018,  the  EEAS  will  draw  up  a  list  of  electoral  priorities  for  the  deployment  of  electoral 
missions  in  the  course  of  2019.  Further  to  an  internal  consultation  with  the  geographic  divisions,  the  EEAS  electoral  division 
(Global.3) will compile a first list of electoral priorities in partner countries, also taking into consideration FPI's forecast on their 
financial cost. Subsequently, the Member States will be consulted at the level of Political and Security Committee and the European 
Parliament at the level of the Democracy and Elections Group (DEG). The High Representative of the Union for Foreign Affairs 
and Security Policy / Vice-President of the Commission will endorse the final list at the  end of 2018 or at the very beginning of 
2019. The list will be reviewed mid-term of 2019 to take into consideration eventual changes. 

III. Programme key facts and performance framework 
1. Financial programming 

Regulation  (EU)  No  235/2014  of  the  European  Parliament  and  of  the  Council  of  11  March 
2014 establishing a financing instrument for democracy and human rights worldwide 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

1 332,8 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

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2020 

11,0 
173,2 
184,2 

10,4 
161,4 
171,9 

10,6 
160,2 
170,8 

10,8 
173,7 
184,5 

11,0 
181,7 
192,8 

11,3 
185,3 
196,7 

11,6 
189,7 
201,3 

Total 
Programme 
76,9 
1 225,2 
1 302,1 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

184,498 

99,98 % 

146,781 

97,56 % 

192,750 

28,05 % 

159,347 

34,22 % 

Authorised appropriations (*) 

187,779 

99,74 % 

150,689 

97,08 % 

193,204 

27,98 % 

162,697 

33,75 % 

(*) Authorised appropriations include voted appropriations, appropriations  originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 
Contribution to mainstreaming of climate action 

Relevant objective/output 

Support to environmental human rights defenders 
* Amount estimated based on 2015 activities. It is observed that an increasing number of human  rights defenders fighting against violations of 
environmental rights, or the defence of activists involved in fields such as land grabbing, water pollution, or non-respect of laws by building or 
extraction industries, are victims of human rights violations. The EIDHR supports those human rights defenders that contribute to the defence of 
the environment. In 2017, the increase in budget is justified by a lot of the global call for proposals that was specifically addressed to Human 
Rights Defenders active in the field of land and environmental issues (evaluation ongoing, contracts to be concluded in 2018). 

Budget 2018 
(EUR million) 
5 

DB 2019 
(EUR million) 
5 

2014 
5 

2014 – 2016 
2015 
5 

2017-2018 estimates 

2016 
5 

2017 
10 

2018 
5 

2019-2020 programming 
2020 
2019 
5 
5 

Total 
2014-2020 
40 

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Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Gender mainstreaming 
In  2017,  100  %  of  contracted  EOM  actions  reported  a  G-Marker1481  This  data  on  the  Gender  Marker  is  provided  in  line  with 
Objective 5.3.2 of the EU Gender Action Plan 2016-2020482 

European Commission also consistently ensures a gender balance in the selection of (1) Core Team experts, (2) Observers and (3) 
participants in training. In 2017, 42.9% of core team member were women; 48.8% of all observers were women; and of the total 
number of 50 trainees from 28 Member States, 54% were women. (In 2016, the rate was 52.7%). This data is provided in line with 
Objective 17.4 of the EU Gender Action Plan. 

4. Performance information 

General objectives 

General Objective 1: Enhancing the respect for and observance of human rights and fundamental freedoms, as proclaimed in the 
Universal  Declaration  of  Human  Rights  and  other  international  and  regional  human  rights  instruments,  and  strengthening  their 
protection, promotion, implementation and monitoring, mainly through support to relevant civil society organisations, human rights 
defenders and victims of repression and abuse. 
Indicator 1: Level of implementation of United Nations Universal Periodic Review* recommendations which have been accepted 
by states in percentage 

Baseline 
2012 

33,7%** 

2014 
33,8% 

2015 
33,9% 

2016 
34,2% 

2017 
34,5% 

2018 
34,8% 

2019 
35% 

Milestones foreseen 

48% *** 

n.a.**** 

55%***** 

n.a.**** 

Actual results 

Target 2020 

35,3% 

* These data are monitored by the UN OHCHR and the UNHRC. Reports can be found through UN OHCHR web site.  
** Data from all developing countries; source: http://www.upr-info.org/sites/default/files/general-document/pdf/-
david_frazier_paper_upr_implementation_2011-2.pdf. 
*** at mid-term review of the 1st UPR cycle, data from UPR-info : http://www.upr-info.org/sites/default/files/general-
document/pdf/2014_beyond_promises.pdf 
**** No study exists for 2015 and 2017 
 ***** of accepted recommendations of the first UPR cycle were either partly or fully implemented, data from UPR-info: https://www.upr-
info.org/sites/default/files/general-document/pdf/2016_the_butterfly_effect.pdf 
General  Objective  2: Supporting,  developing  and  consolidating  democracy  in  third  countries,  by  enhancing  participatory  and 
representative  democracy,  strengthening  the  overall  democratic  cycle,  in  particular  by  reinforcing  an  active  role  for  civil  society 
within this cycle, the rule of law and improving the reliability of electoral processes, in particular by means of election observation 
missions. 
Indicator 1: Number of electoral processes and democratic cycles supported, observed, and followed 

Milestones foreseen 

Baseline 
2012 

Target 2020 

20 

24 

2015 
25 

2017 
25 

2014 
25 

2016 
25 
Actual results 
36 
This indicator builds on the number of electoral process at national level that have been established by partner countries' own constitutional 
calendars. 
* Electoral assistance was provided in Comoros, Seychelles, Cameroon, Gabon, Peru, Congo (Democratic Republic of the), 
Uruguay, Fiji, Mali, Madagascar, South Africa, Botswana, Georgia, Moldova, Armenia, Montenegro. 
Electoral processes and democratic cycles supported, observed and followed include: 
  EU Election Observation Missions (EOMs): fully-fledged election observation missions;  
  EU  Election  Assessment  Team  missions  (EATs):  limited  observation  or  assessment  missions  in  countries  with  particularly 

175 (25 per year) 

2018 
25 

2019 
25 

35* 

25 

difficult security situations; 

  EU  Election  Expert  Missions  (EEMs):  small-scale  missions  composed  of  electoral  experts  of  assessment  of  the  election 

process; 

  Complementary  activities  (studies)  which  started  in  2017:  In  addition  to  the  electoral  missions,  preparation  of  a  study  or 

conducting a desk review on an electoral issue and any other activities linked to electoral missions; 

481 Methodology for calculation of the amounts: 28.7 % of [operational chapter 21 04]. The percentage is calculated based on the 2014 statistics on OECD 40% of  
gender marker "1" (= gender equality is "significant objective" in the programme or project, meaning at least it has been mainstreamed) and 100% of gender  
marker "2" (= gender equality is "main objective" in the programme or project). 

482 Transforming the Lives of Girls and Women through EU External Relations, 2016-20 '– SWD(2015) 182 final of 21/09/2015 

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  Electoral  assistance  (e.g.  technical  assistance,  provision  of  voting  material  and  equipment,  support  to  the  registration  of 
political parties and/or of voters, support to civil society organisations in areas such as voter and civic education or training of 
local observers, media monitoring, training of journalists, etc.). 

The first four items are counted in Indicator 1 of Specific Objective 4 below. 

Specific objectives 

Specific Objective 1: Support to Human Rights and Human Rights Defenders in situations where they are most at risk. 
Indicator  1: Number  of  Human  Rights  Defender  individuals  who  have  received  EU  support  (being  protected  politically,  legally 
and/or physically and pulled out of their position of abuses) 

Baseline 
2013 

230 

2014 
300 

421 

2015 
300 

Milestones foreseen 

2016 
300 
Actual results 

2017 
1200* 

258** 

1181*** 

1231**** 

2018 
1200* 

2019 
1200* 

Target 2020 

1200* 

Source: CSO networks and small grants allocated. 
* Milestones and target were updated based on ongoing experience following the strengthened EU support to Human rights and Human Rights 
Defenders  (HRDs)  at  risk  under  the  2014-2020  instrument  and  the  ever  more  shrinking  space  for  civil  society  worldwide  that  turns  into  an 
increasingly number of requests for HRDs protection.  
**  In 2015, at least 258 human rights defenders at risk  were supported by the EIDHR (without counting human rights defenders  supported by 
projects financed via global or local calls for proposals for which no data collection exists yet, including for confidential reasons). 
***  In  2016,  at  least  1,181  human  rights  defenders  at  risk  were  supported  by  the  EIDHR  under  the  Emergency  Fund,  the  new  mechanism 
ProtectDefenders.eu and Headquarters-managed projects (without counting human rights defenders supported by projects financed via global or 
local calls for proposals for which no data collection exists yet, including for confidential reasons). 
**** In 2017, at least 1 231 human rights defenders at risk were supported by the EIDHR  under the Emergency Fund, the ProtectDefenders.eu 
mechanism  and  Headquarters-managed  projects  (without  counting  human  rights  defenders  supported  by  projects  financed  via  EIDHR  Crises 
Facility and global or local calls for proposals for which no data collection exists yet, including for confidential reasons.) 
Indicator 2: Number of crisis response projects implemented under the EIDHR 

Baseline 
2012 

10 

2014 
15 

15 

2015 
15 

8 

Milestones foreseen 

2016 
15 
Actual results 
17 

2017 
15 

27 

2018 
15 

2019 
15 

Target 2020 

15* 

*Target set on the basis of our experience from the last programming period 
In 2014 : 9 in country projects (most difficult situations as Belarus, Syria, Ukraine) and 6 global projects were deployed offering a global 
coverage and compiling a mix of in-country and multi-country projects (most difficult type of HR violation and/or categories of defenders at risk) 
activities. 
In 2015: at least 6 in-country projects under the EIDHR Crises Facility and 2 global projects (EIDHR Emergency Fund and the grant to the EU 
Comprehensive HRDs mechanism Protectdefenders.eu). In 2016: at least six projects, four in countries and two regional, under the EIDHR Crises 
Facility and eleven projects under the Country Based Support Scheme.In 2017: four country-specific projects under the EIDHR Crises Facility, 
one global project and 22 projects under the Country Based Support Scheme (e.g. Syria, Turkey, Philippines, Ethiopia, Yemen). 

Expenditure related outputs 

Projects related to situation where Human Right Defenders are most at risk 

21 04 01 

Outputs 

Budget line 

Draft Budget 2019 

Number 
30 

EUR million 
35.1 

Outputs 

Projects related to situation where Human Right 
Defenders are most at risk 
* A more streamlined, less labour-intensive system has been adopted to channel the grants to beneficiaries resulting to less contracts for a higher 
number of human rights defenders supported.  

F 
P 

2014 
52 
86 

Number of outputs foreseen (F) and produced (P) 
2017 
30 
31* 

2016 
52 
26* 

2018 
30 

2015 
52 
18* 

2019 
30 

2020 
30 

Specific Objective 2: Support to other priorities of the Union in the fields of human rights 
Indicator 1: Number of EIDHR projects in line with EU Guidelines* 

Baseline 
2012 

150 

2014 
250 

271 

2015 
250 

332 

Milestones foreseen 

2016 
250 
Actual results 

2017 
250 

132** 

186** 

2018 
180*** 

2019 
180 

Target 2020 

250 

*http://eeas.europa.eu/human_rights/guidelines/index_en.htm  
** The increase in the average size of contracts is the main explanation relating to the decrease in the number of contracts.  
*** Target has been revised in order to reflect the reality of increased average size of contracts. This does not affect expenditure. 

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EU  guidelines  are  not  legally  binding,  but  because  they  have  been  adopted  at  ministerial  level,  they  represent  a  strong  political 
signal that they are priorities for the Union. Guidelines are pragmatic instruments of EU Human Rights policy and practical tools to 
help EU representations in the field better advance our Human Rights policy. They also serve as priorities for defining activities in 
order to put into practice the political orientation.   
There are 11 Human Rights Guidelines the EIDHR is delivering on: 

1. Death penalty (2013)  
2. Torture and other cruel, inhuman or degrading treatment or punishment (2012) 
3. EU Guidelines on the promotion and protection of freedom of religion or belief (2013) 
4. Guidelines to promote and protect the enjoyment of all Human Rights by lesbian, gay, bisexual, transgender and 
intersex (LGBTI) persons (2013) 
5. Human Rights dialogues with third countries (2009) 
6. Children and armed conflict (2008) 
7. Human Rights defenders (2008) 
8. Promotion and Protection of the Rights of the Child (2008) 
7. Violence against women and girls and combating all forms of discrimination against them (2008) 
10. International Humanitarian Law  
11. EU Human Rights Guidelines on Freedom of Expression Online and Offline 

Despite the fact that the indicator is output oriented, the number of EIDHR projects is an important element, for such a financial 
instrument, as it should be highlighted that having a human rights project in place in some countries is an achievement by itself. For 
this reason part of the EIDHR projects are classified ‘confidential’.  
By definition, those projects, their beneficiaries and the country is which they operate cannot be mentioned. 
Indicator 2: Number of Human Rights victims benefitting from EIDHR projects 

Baseline 
2012 

3 000 

2014 
4 000 

2015 
4 000 

2016 
4 000 

2017 
4 000 

2018 
4 000 

2019 
4 000 

Milestones foreseen 

Actual results 

Target 2020 

4 000* 

n.a.** 
n.a.** 
*Target set based on experience from the previous programming period. 
** Data not available as there is no data collection tool available. 

n.a.** 

n.a. ** 

Expenditure related outputs 

Outputs 

Projects 

Projects 

Outputs 

2014 
250 
271 

F 
P 

Budget line 

21 04 01 

Draft Budget 2019 

Number 
180 

EUR million 
64 

Number of outputs foreseen (F) and produced (P) 
2017 
250 
186 

2016 
250 
132 

2018 
180* 

2015 
250 
332 

2019 
180 

2020 
180 

* The lower number of projects reflects the increasing average size of contracts as well as a slight shift towards objective 1 after the EIDHR mid-
term review. 

Specific Objective 3: Support to Democracy. 
Indicator 1: The percentage of countries belonging to the Democracy Pilot Countries which have improved their V-DEM Electoral 
Democracy Index* 

Baseline 
2012 

0 % 

2014 
15 % 

2015 
30 % 

2016 
50 % 

2017 
65 % 

2018 
75 % 

2019 
90 % 

Milestones foreseen 

Target 2020 

100 % 

41,6% 
*Source: The V-DEM Electoral Democracy Index can be found at V-DEM net (https://v-dem.net/about). 
** This percentage includes both the 1st and 2nd generation of Pilot Countries  

Not available 

60%** 

Actual results 
42,9 

V-DEM for Varieties of Democracy is a new approach to conceptualizing and measuring democracy. It is a collaboration among 
more  than  50  scholars  worldwide  which  is  co-hosted  by  the  Department  of  Political  Science  at  the  University  of  Gothenburg, 
Sweden, and the Kellogg Institute at the University of Notre Dame, USA 

Indicator 2: The percentage of actions of the democracy support action plans implemented 

Baseline 

0 

2014* 
0 

2015* 
0 

2016 
15 % 

2017 
25 % 

2018 
45 % 

2019 
60 % 

Milestones foreseen 

0 

0 

Actual results 
25% 

30%** 

Target 2020 

100 % 

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* Democracy action plans were adopted during 2015 and thus their implementation has started in 2016. 
** This is an estimate as reporting on the implementation of the actions of the democracy support action plans will start only in February 2018. 

Expenditure related outputs 

Outputs 

Projects 

Budget line 

21 04 01 

Draft Budget 2019 

Number 
40 

EUR million 
23 

Outputs 

Projects 

2014 
160 
140 
* Based on actual trends and increased average size of contracts. 
** Increasing number of democracy support actions are taking place in most difficult circumstances (e.g. support to media and journalists under 
threat, lifeline support to civil society organisations) and have thus been rated as crisis response projects (i.e. Objective 1, indicator 2).  This trend 
is likely to continue in the future. 

Number of outputs foreseen (F) and produced (P) 
2017 
50* 
34* 

2015 
160 
115* 

2016 
110 
44** 

2019 
40* 

2020 
40* 

2018 
40* 

F 
P 

Specific Objective 4: EU Election Observation Missions 
Indicator  1: Number  of  electoral  processes  and  democratic  cycles  supported,  observed,  and  followed  by  means  of  Election 
Observation Missions, Election Assessment Teams and Election Experts Missions proposing recommendations to the host country 
Milestones foreseen 

Target 2020 

Baseline 
2010-2013 

2014 
19 

2015 
21 

2016 
22 

Actual results 

2017 
23 

2018 
26 

2019 
28 

17 

17 
(7 EOMs, 1 EAT, 
9 EEMs 

16 
8 EOMs, 8 
EEMs 

16 
7 EOMs, 9 
EEMs 

19 
7 EOMs, 8 
EEMs, 4 studies 

30 

The indicator takes into consideration the: 
-  EU Election Observation Missions (EOMs): fully-fledged election observation missions; 
-  EU Election Assessment Team missions (EATs): limited observation or assessment missions in countries with particularly difficult security 

situations; 

-  EU Election Expert Missions (EEMs): small scale missions composed of electoral experts of assessment of the election process; 
-  The studies or desk reviews on an electoral issue and any other activities linked to electoral missions which started in 2017 
The total number of processes observed and assessed by the EU depends on: 
- 
- 
- 
- 

the political agenda as defined by the High Representative/Vice President, 
the changes (postponements/cancellations) of the corresponding electoral calendars/processes, 
the annual budget available, 
the EU capacity to deploy electoral missions in view of the operational and security conditions in the countries concerned. 

The number of electoral missions is important "per se" because election observations contribute to strengthening democratic 
institutions, build public confidence in electoral processes and help deter fraud, intimidation and violence. Election observation also 
serves to reinforce other key European Union foreign policy objectives most notably to enhance security and development in 
partner countries and to support them in improving governance and capacity-building. 

Indicator  2: Number  of  Election  Follow-up  Missions  (post-election  expert  missions)  deployed  in  countries  after  an  Election 
Observation Mission to assess the implementation of recommendations. 

Baseline 
2013 

2: 
Bolivia and 
Mozambique 

2014 
2 

2015 
3 

Milestones foreseen 

2016 
4 

Actual results 

2017 
4 

2018 
6 

2019 
7 

2: Nigeria and 
Democratic Republic 
of Congo 

3: Paraguay, 
Cambodia and 
Honduras 

3:Madagascar, 
Kenya, Pakistan 

4: Peru, Malawi, 
Nigeria, Maldives 

Target 2020 

8 

Expenditure related outputs 

Outputs 

1. EU Election Observation Missions and EU Election Assessment Team Missions 
2. EU Election Expert Missions 
3. Follow-up missions 
Total 

Budget line 

19 04 01 
19 04 01 
19 04 01 

Draft Budget 2019 

Number 
12 
9 
7 

EUR million 
43 
2,3 
1,9 
47,2 

Outputs 

1.  EU  Election  Observation  Missions  and  EU 
Election Assessment Team Missions 

F 
P 

2014 
8 
8 

Number of outputs foreseen (F) and produced (P) 
2017 
11 
7 

2016 
10 
7 

2018 
12 

2015 
9 
8 

2019 
12 

2020 
13 

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Outputs 

2. EU Election Expert Missions 

3. Follow-up missions 

2014 
11 
9 
2 
2 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
12 
8 
4 
4 

2016 
12 
9 
4 
3 

2018 
8 

2015 
12 
8 
3 
3 

6 

7 

2019 
9 

2020 
9 

8 

Specific Objective 5: Support to targeted key actors and processes, including international and regional human rights instruments 
and mechanisms. 
Indicator 1: Number of States that have signed and ratified international & regional Conventions and related optional Protocols 

Baseline 
2013 

5 

2014 
10 

34 

2015 
10 

53 

Milestones foreseen 

2016 
10 
Actual results 
49 

2017 
10 

27 

2018 
10 

2019 
10 

Target 2020 

10* 

Source: OHCHR Treaty Bodies. 
* Target set on the basis of our experience from the last programming period 
In 2014, 34 countries have ratified one of the 18 International Human Rights Treaties 
In 2015, 53 countries have ratified one of 18 International Human Rights Treaties 
In 2016, 49 countries have ratified one of the 18 International Human Rights Treaties or related optional Protocols (http://indicators.ohchr.org/) 
In 2017, 27 countries have ratified one of the 18 International Human Rights Treaties or related optional Protocols (http://indicators.ohchr.org/) 
Indicator 2: Number of key actors supported, in particular international, regional and national organisations 

Baseline 
2013 

10 

2014 
15 

15 

2015 
15 

11 

Milestones foreseen 

2016 
15 
Actual results 
10 

2017 
15 

15 

2018 
15 

2019 
15 

Target 2020 

15* 

Source: OHCHR, HR CSO and networks. 
*Target set on the basis of our experience from the last programming period 
In 2014 15 key actors : OHCHR - Office of the High Commissioner for Human Rights, EIUC - European Inter-University Centre for Human 
Rights and Democratisation, National Human Rights Institutes, ICC - International Criminal Court, International Organization for Migration. 
In 2015 11 key actors were supported: European Inter-University Centre for Human Rights and Democratisation (7 stakeholders), IOM - 
International Organization for Migration, OHCHR - Office of the UN High Commissioner for Human Rights, UNICEF and indirectly the African 
Union 
In  2016  10  key  actors  were  supported  :  European  Inter-University  Centre  for  Human  Rights  and  Democratisation  (7  stakeholders),  ILO  - 
International Labour Organization, OHCHR - Office of the UN High Commissioner for Human Rights, UNHCR – the UN Refugees Agency 
In  2017  15  key  actors  were  supported  :  Global  Campus  of  Human  Rights  Education/European  Inter-University  Centre  for  Human  Rights  and 
Democratisation (7 stakeholders), ILO  - International Labour Organization, OHCHR-Office of the UN High Commissioner for Human Rights, 
ICC - International Criminal Court,  the Global Alliance of National Human Rights Institutions (GANHRI), and four regional NHRI secretariats 
(5 stakeholders). Support has also been given to the participation of  civil society in key processes (e.g. in human rights negotiations, dialogues, 
etc. 

Expenditure related outputs 

Outputs 

Support to UN OHCHR  
Support to EIUC/ Network 
Support to ICC 
Other  
Total 

Outputs 

Support to UN OHCHR 

Support to EIUC/ Network 

Support to regional mechanism 

2014 
2 
4 
7 
7 
1 
1 

F 
P 
F 
P 
F 
P 

Budget line 

21 04 01 
21 04 01 
21 04 01 
21 04 01 

Draft Budget 2019 

Number 
2 
7 
1 
5 
15 

EUR million 
6.5 
4.8 
1.0 
3.7 
16 

2018 
2 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
7 
7 
1 
1 

2016 
2 
2 
7 
7 
1 
1 

2015 
2 
2 
7 
7 
1 
5 

1 

7 

7 

1 

2019 
2 

2020 
2 

7 

1 

Justification of changes to the financial programming and/or to the performance information 

Considering  the  results  of  the  mid-term  review  of  the  instrument,  no  changes  in  the  financial  programming  and/or  to  the 
performance  information (by  specific objective) have occurred. Changes  may occur pending the  adoption of the  new  2018-2020 
Multiannual Indicative Programme for the EIDHR.. 

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5. Programme contribution to the Sustainable Development Goals 

With  its  focus  on  human  rights,  gender  equality,  vulnerable  groups,  economic,  social  and  cultural  rights,  and  the  inclusion  of 
environmental HRDs, the EIDHR is contributing to achieving the Sustainable Development Goals (SDGs) in the 2030 Agenda. In 
fact, with the recognition in the EIDHR that democracy and human rights are inextricably linked and mutually reinforcing while the 
SDGs are  rather silent on democracy, the  EIDHR even goes beyond the SDGs to some extent.  In addition, the  EIDHR focus on 
promotion of the rights-based approach to development (RBA) is fully in line with the paradigm shift the 2030 Agenda implies as 
to the interdependence of human rights with development and with peace and security.  Indeed, the EIDHR contributes towards “a 
world  of  universal  respect  for  equality  and  non-discrimination”  between  and  within  countries,  including  gender  equality,  by 
reaffirming  the  responsibilities  of  all  States  to  “respect,  protect  and  promote  human  rights,  without  distinction  of  any  kind  as  to 
race, colour, sex, language, religion, political or other opinions, national and social origin, property, birth, disability or other status” 
(SDG Goal 10), to “more peaceful, just and inclusive societies which are free from fear and violence” with attention to democratic 
governance, rule of law, access to justice and personal security (in Goal 16), as well as an to enabling international environment (in 
Goal 17 and throughout the framework).  
Moreover, EIDHR contributes to the EU-specific framework in support of the SDG implementation, the European Consensus for 
Development,  in  particular  to  its  three  areas:  (i)  People  -  Human  development  and  dignity,  (ii)  Peace  –  Peaceful  and  inclusive 
societies, democracy, effective and accountable institutions, rule of law and human rights for all, and (iii) Partnership. 

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HEADING 4: Global Europe 

Instrument contributing to Stability and Peace 
Lead DG: FPI 
Associated DGs: DEVCO 

I. Programme Overview 

What the programme is about? 

The  Instrument  contributing  to  Stability  and  Peace  (IcSP) is  the  EU's  main  instrument  supporting  security  initiatives  and  peace-
building activities in partner countries. It came  into force in 2014, replacing the Instrument for Stability (IfS)  and several earlier 
instruments  that  focused  on  drugs,  landmines,  displaced  people,  crisis  management,  rehabilitation  and  reconstruction.  The  IcSP 
provides  short-term  assistance,  for  example  in  countries  where  a  crisis  is  unfolding,  or  long-term  support,  notably  to  mitigate  a 
variety of risks, tackle global and trans-regional threats, and build capacity for lasting socio-economic development. Its activities 
complement those of the European Union's geographical instruments. 

EU added value of the programme 

The Treaty on the European Union, under Article 21, has defined common overarching principles and objectives for the Union's 
external action, such as to: "preserve peace, prevent conflicts and strengthen international security". Responding to this particular 
challenge requires a collective effort based on strong partnerships with other States, civil society actors, multilateral and regional 
partners. As a global player, the EU has credibility and a perception of neutrality that provides a competitive advantage to intervene 
in  many  conflict  areas  to  avoid  escalation  or  to  offer  assistance  in  preventing  conflicts.  A  greater  impact  is  achieved  when  the 
response is provided at EU level, as combined efforts provide increased leverage over authorities and international partners. Crisis 
response actions at EU level increase the coherence of response and aid efficiency while peace-building actions create openings for 
structural  and  thematic  engagement  with  Member  States  and  civil  society.  Synergies  and  cooperation  are  increasingly  needed  at 
international level, as EU Member States and international donors are facing similar problems in terms of scarce resources. In this 
regard,  it  should  be  noted  that  a  very  limited  number  of  EU  Member  States  operate  a  crisis  response  or  peace-building  facility 
comparable in scope to the Instrument contributing to Stability and Peace. 

II. Programme Update 

Implementation status (2017) 

In  2017,  a  total  of  EUR  186.2  million  was  committed  under  the  IcSP  objectives  managed  by  the  Service  for  Foreign  Policy 
Instruments (FPI): EUR 157,2 million under the short-term crisis response component (Article 3) and EUR 29,0 million under the 
structural peace-building component (Article 4).  

In accordance with the IcSP Regulation, the first objective under Article 3  - Response to situations of crisis or emerging crisis, is 
not subject to multi-annual programming as the actions depend on developments in the international situation, in particular in terms 
of conflicts and crises. At least 70%483 of the financial envelope is allocated to this objective. 

The second objective under Article 4 – Assistance for conflict prevention, peace building and crisis preparedness, which consumes 
9%484  of  the  financial  envelope,  and  the  third  objective  under  Article  5  -  Assistance  to  address  global  and  trans-regional  threats 
implemented by DG DEVCO, are both subject to programming485.  The IcSP programme is being implemented in accordance with 
the relevant Multi Annual Indicative Programme and funds have been committed at 100% against this benchmark. Any difficulties 
and problems are being addressed in a continuous  manner  to avoid any impact on the implementation of the programme and no 
delays have been encountered. 

A  total  of  EUR  72.9  million  was  committed  under  the  IcSP  Article  5  implemented  by  DG  DEVCO,  providing  assistance  in 
addressing global and trans-regional and emerging threats such as the fight against terrorism, organised crime, cyber-crime, illicit 
trafficking, threats to critical infrastructure, and Chemical, Biological, Radiological and Nuclear (CBRN) risk mitigation. 

Key programme achievements to date (examples of programme success stories / generated EU value added) 

IcSP Art. 3 and 4: In terms of achievements under the first objective, 33 short-term crisis response actions and 3 Interim Response 
Programmes  were  adopted  and  launched  in  2017  (149  actions  over  the  2014-2017  period).  All  of  the  36  crisis  response  actions 
adopted in 2017 responded directly to political priorities as discussed in the Foreign Affairs Council or to engagements from the 
High  Representative  and  Vice  President.  In  addition,  the  newly  adopted  actions  in  Afghanistan,  Somalia  and  Bosnia  and 
Herzegovina, as well as ongoing programmes in the Central African Republic and Ukraine, directly complement the work of CSDP 
missions, thereby contributing to the implementation of the EU Integrated Approach in response to conflicts and crises. 2017  also 
saw  adoption  of  the  Capacity  Building  for  Security  and  Development  (CBSD)  amendment  to  the  IcSP.  This  CBSD  amendment 

483 The allocation key is foreseen in  the Regulation (EU) No 230/2014 of the European Parliament and of the Council of 11 March 2014 establishing an instrument 
contributing to stability and peace (OJ L 77, 15.3.2014, p. 1) amended by Regulation (EU) 2017/2306 of the European Parliament and of the Council of 12 
December 2017 (OJ L 335, 15.12.2017, p. 6–10). 
484 Idem 
485 The 2014-2020 Strategy Paper and 2014-2017 Multi-annual Indicative Programme (MIP) adopted on 11 August 2014. 

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constitutes a major policy development achievement and will reinforce the capacity of the IcSP to play a central role in making the 
Integrated Approach a reality.  
In 2017, the IcSP’s main achievements were the continued support to crisis responses measures in Syria as well as its surrounding 
countries; the IcSP increased the  financial  support for actions to  respond to terrorism and radicalisation threats regionally and in 
targeted countries; and the support to peace processes mainly in Africa and MENA countries. 

Syrian  crisis:  Since  the  beginning  of  the  crisis,  over  EUR  200  million  has  been  allocated  under  the  Instrument  contributing  to 
Stability and Peace (IcSP) and its predecessor, the Instrument for Stability (IfS), to support crisis response measures inside Syria 
and in the neighbouring countries affected by the conflict. This assistance has included delivery of non-humanitarian assistance to 
the  population  in  Syria,  support  to  dialogue  initiatives,  transitional  justice  and  countering  violent  extremism,  and  support  to 
refugees, host governments and host populations in Syria, Lebanon, Jordan, Iraq and Turkey. In 2017, three new IcSP programme s 
were adopted. Building on the success of the first phase of the Syria Peace Support Initiative, supporting UN-brokered international 
mediation efforts, a second EUR 9M phase was adopted in December 2017 and will build on the going activities as of March 2018, 
thereby  ensuring  continuity  with  the  first  phase.  The  IcSP  also  expanded  its  commitment  to  support  to  transitional  justice  and 
accountability  with  targeted  support  to  the  International  Commission  on  Missing  Persons  (ICMP)  which  takes  concrete  steps  to 
launch a  sustainable process of collecting data  from families  whose  relatives are  missing due to/in the Syrian conflict as  well as 
support to the International, Impartial and Independent Mechanism, in a direct response to the UN General Assembly Resolution 
71/248 of December 2016 and completing bilateral efforts already engaged by several EU Member States. Finally, the IcSP also 
provides support to education in opposition-held areas. 

Countering  terrorism  and  preventing  violent  extremism:  The  IcSP  is  increasingly  financing  actions  related  to  countering 
terrorism and preventing violent extremism, through actions focusing on analysing radicalisation and violent extremism trends and 
dynamics, supporting initiatives aiming to address the dynamics underpinning radicalisation and violent extremism, strengthening 
state  authorities’  capacities  to  better  engage  and  respond,  and  community  engagement  with  vulnerable  groups  as  well  as 
strengthening  resilience  In  2017,  new  IcSP  actions  were  developed  to  respond  to  the  terrorism  and  radicalisation  threats  with 
regional  programmes  in  West  Africa,  Central  Asia  and  in  the  Middle  East  and  North  Africa  as  well  as  targeted  actions  in  Iraq, 
Chad, Guinea, Niger, Nigeria and Kyrgyzstan.  

Support  to  Peace  Processes  -  mediation,  dialogue  and  confidence-building:  In  addition  to  the  Colombian  Peace  Process,  the 
Syria  Peace  Support  Initiative  and  the  Kosovo-Serbia  Dialogue,  the  IcSP  also  engaged  in  supporting  other  peace  processes, 
dialogue and mediation activities in 2017, with targeted actions supporting the work of the committee on the peace accord in Mali, 
as  announced  by  the  HRVP  during  her  visit  to  Bamako  in  June  2017,  but  also  in  Afghanistan,  Libya,  Turkey,  Yemen,  Iraq,  the 
Central African Republic, in Senegal (Casamance), in the Niger Delta region of Nigeria, between Tebou and Touaregs communities 
in Niger,  and in  between Guatemala and Belize. It also included support to the regional initiatives by the African Union in Sudan 
and in South Sudan. 

Ukraine:  The  conflict  in  Ukraine  continued  throughout  2017  thereby  requiring  a  continuation  of  the  IcSP  support  to  the  OSCE 
Special  Monitoring  Mission  through  the  provision  of  satellite  imagery.  The  IcSP  also  expanded  its  support  to  conflict  affected 
youth and to the protection of civilians.  

Colombia:  After  the  rejection  of  the  Agreement  for  the  termination  of  the  conflict  in  a  plebiscite  in  October,  a  new  Financing 
Decision  of  EUR  8  million  was  urgently  required  to  safeguard  the  gains  achieved  through  the  peace  negotiations  and  enable  a 
potential Peace Agreement to succeed.  

Western  Balkans:  With  three  new  programmes  in  the  Western  Balkans,  the  IcSP  continues  the  stabilisation  efforts  in  the 
immediate  EU  neighbourhood.  In  2017,  the  IcSP  engaged  on  confidence  building  in  Kosovo  through  the  protection  of  cultural 
heritage. Directly in line with the EU's efforts, the IcSP is also supporting dialogue between Belgrade and Pristina as well as mine 
clearance related action in Bosnia and Herzegovina.  

In  terms  of  achievements  under  the  second  objective  (IcSP  art.4)  a  total  of  922  processes  and  565  entities  benefited  from  the 
strengthened capacity attributable to IcSP funding during the  course of 2017. This allowed the EU to engage  with its partners – 
international,  regional,  sub-regional  organisations,  Member  States  and  civil  society  actors  –  on  structural  measures  to  support 
peace-building in a more comprehensive manner.   

The "European New Training Initiative” (ENTRi)  ensures high level pre-deployment training for participation in  EU civilian 
stabilisation missions and in international civilian crisis management missions. Building upon the positive experience of previous 
projects,  ENTRi  is  a  successful  example  of  effective  cooperation  between  12  training  agencies  from  11  Member  States  (plus 
Switzerland).  The  project  enhances  the  capacities  of  specialised  personnel  to  effectively  participate  in  civilian  EU  (CSDP)  or  in 
other international organisations (UN, AU, OSCE) missions.    

ENTRi  provides  a  wide  range  of  customised  and  off-the-shelf  training  packages  and  specific  trainings  of  trainers,  promotes  the 
harmonisation of training standards and content in Europe and beyond. Examples of the project's achievements are the certification 
of  training  courses  to  establish  certain  minimum  standards  and  criteria  in  the  training  of  civilian  personnel  that  are  deployed  to 
crisis  management  missions,  the  production  of  e-learning  courses  on  "Intercultural  Competence  in  Civilian  Crisis  Management" 
(guidance on how to behave in a culturally-sensitive manner) or the "In-control' Handbook and mobile, practical guide for civilian 
experts working in Crisis Management missions.  

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In 2017 the project has continued and increased the cooperation with the European Security and Defence College (ESDC) allowing 
the alignment and integration of the respective training activities. The project has also increased the synergies and the cooperation 
on delivery of in-country training in particular with the EU CDSP missions but also with other International organisations such as 
the UN Department of Peace-Keeping Operations (DPKO) and the European Policy College (CEPOL).  

Support to civil society. In 2017 IcSP continued to support the civil society in its efforts to contribute to conflict prevention and 
peace building in conflict-affected third countries as well to respond to crises.  

Under the Civil Society Dialogue Network (CSDN) action, the IcSP continued to enhance the dialogue between EU and Member 
States  decision-makers  and  European  civil  society  actors  on  conflict  prevention  and  peace-building  issues  with  the  objective  to 
support civil society capacity to anticipate, prevent and respond to threats to stability and peace posed by violent conflict and crisis 
and better support conflict- affected countries in building peace.  
This  action  has  increased  the  visibility  and  access  of  civil  society  organisations  (including  from  third  countries)  vis-a-vis 
international  multilateral  organisations  and  national  authorities  in  particular  where  the  dialogue  between  authorities  and  civil 
society organisations is more difficult. Conferences, debates, fora, dialogues have been organised on a wide range of peace-building 
related topics or specific geographic countries/regions. It has been the case of meetings focusing on preventing violent extremism 
or  on  specific  countries  such  as  Central  African  Republic,  Ukraine,  and  Iraq  with  the  active  participation  of  European  and  third 
countries civil society organisations.    
IcSP  has  directly  supported  in  their  actions  local  CSOs  in  third  countries  in  their  efforts  to  perform  their  roles  as  independent 
peacebuilding  actors.    This  support  has  increased  grassroots  civil  society  capacity  to  engage  in  peace-building  and  conflict 
prevention  actions  focusing  on  themes  such  as  mediation  and  dialogue,  confidence  building,  fragility  and  conflict;  women  and 
youth, as agents for peace, prevention of violent extremism. In a global context of shrinking space for civil society, IcSP represents 
a viable or sometimes the only option for targeted CSO interventions when other instruments cannot intervene. This was the case, 
in 2017, of specific grants to CSO in Burundi and Venezuela.    

Building capacity in Mediation, Dialogue and Reconciliation  
Through the European Resources for Mediation Support (ERMES)  programme, the IcSP enables the EU to  support third parties 
through  quick-response  engagements  as  well  as  longer  term  capacity-building  efforts  for  mediation  processes.  In  particular, 
ERMES  provides  short-term,  high-calibre  technical  assistance  to  peace  processes  and  actors,  including  training  and  coaching 
support  to  peace  process  participants  alongside  short  research  papers  to  guide  mediation  actors,  as  well  as  the  organisation  of 
meetings linked to third party engagement in mediation, at international, national and local levels.   

In 2017, the programme allowed the EU to engage as a political actor in a number of mediation and peace processes in a dozen 
conflict or post-conflict settings through 14 specific assignments, inter alia the organisation of peace talks involving more than 100 
community leaders of Yemen and the support to CAR authorities providing high-level negotiation expertise.  

IcSP Art. 5 Under the third IcSP objective covering programmable actions addressing global, trans-regional and emerging threats 
(IcSP  Art.  5),  preliminary  key  programme  results  based  on  established  programme  indicators  indicate  the  fulfilment  of  planned 
objectives. In terms of overall programme management, a successful change process over the past years has led to actions of longer 
duration and the average size of contracts tripling leading to a more effective use of resources and efficiency gains.  

Legislative and operational capacity in third countries was strengthened and global and trans-national cooperation frameworks and 
networks established as demonstrated below. The focus has been two-fold: supporting security capacities at national and regional 
levels  on  the  one  hand  and  promoting  frameworks  for  effective  global  and  trans-regional  cooperation  on  the  other.  Following  a 
tailored approach, key countries were identified in priority regions and the capacities of local law enforcement and security units 
strengthened  by  setting  up  or  further  developing  specialised  units  and  inter-agency  cooperation.  Regional  coordination  and 
information-sharing functions continued to be supported to foster regional and trans-regional cooperation, primarily by making use 
of existing structures whenever possible.    

Countering  terrorism  (CT)  remained  a  priority  in  2017  with  continued  investment  in  projects  that  strengthen  the  resilience  of 
communities to violence and extremism around the world as well as reforming criminal justice systems in line with international 
law, the rule of law and with full respect to human rights. In the area of CT in line with the Council Conclusions of February 2015 
and June 2017, the EU continued support for  the implementation of the EU CT Dialogues with priority countries/regions and for 
stepping up CT response through the launch of a EUR 13 million project in the Middle East and North Africa CT MENA aiming to 
build  criminal  justice  systems  that  can  cooperate  regionally  and  internationally  to  offer  security  to  their  citizens  while  ensuring 
compliance with international law, human rights and the rule of law.  The project is intended as a flexible tool for implementation 
of the EU CT dialogues, covering  Libya, Tunisia, Algeria and Morocco (and Iraq, Jordan, Lebanon, Syria, Palestine). A EUR 16 
million  action  on  anti-money  laundering  and  counter-terrorist  financing  (AML/CFT)  in  MENA  and  South  East  Asia  also 
commenced. The EU is an important actor in the area of CFT both within and outside Europe. Indeed this new initiative builds on a 
similar action currently under implementation in the Horn of Africa.  

Progress  in  the  area  of  Preventing  and  Countering  Violent  Extremism  (P/CVE)  in  2017  was  also  notable.  STRIVE  Hedayah 
has-via actions to enhance the national/regional VE research methodologies and capacities in Central Asia - been able to equip local 
actors  with  solid  research  skills  to  understand  and  analyse    root  causes  for  PVE.  This  will  result  in  better  targeted  and  context-
specific P/CVE response in future programming.  The innovative sub-granting mechanism put in place under the STRIVE Hedayah 
allowed EU to reach the "unusual suspects" at local level and involve in P/CVE activities the most vulnerable groups, whose work 
at communities level was not given enough recognition.  In addition, in a region like Central Asia, where many countries react to 

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the VE threats with heavy-handed responses, STRIVE provides a safe space for civil society to engage in an area  which is mainly 
dominated  by  security  actors.  Over  time,  this  might  contribute  to  a  change  in  perspectives  and  ameliorate  the  relation  between 
CSOs and security actors/ government.  

Maritime security actions in the Indian Ocean, such as CRIMLEA and CRIMARIO continued in 2017. The impact evaluation of 
The Critical Maritime Routes - Gulf of Guinea (CRIMGO) carried out in 2017 showed that the project was able to provide timely, 
relevant  and  tailor-made  courses  designed  to  respond  to  regional  demands  and  Gulf  of  Guinea  (Go)  capacity  needs.  CRIMGO 
trainings satisfied the needs and met the expectations of the trainees and  their national administrations, providing graduates  with 
crucial maritime competences. Thanks to the support of CRIMGO, the two regional training institutes involved will be in a position 
to continue  to offer the trainings developed in the  region.  The new  GoGIN project continues  supporting the regional partners to 
monitor the quality of the local trainers employed and the teaching delivered to ensure that the achievements of CRIMGO endure. 

The CBRN Risk Mitigation Centres of Excellence (CBRN CoE) Initiative continued supporting interregional cooperation and 
enhancing  third  countries’  capabilities  to  prevent  and  manage  incidents  involving  CBRN-E  agents.  In  2017,  the  programme 
continued  to  develop  into  a  worldwide  network:  4  new  Partner  Countries  (Azerbaijan,  Ethiopia,  Kuwait,  Pakistan)  joined  the 
Initiative, which now gathers 59 Partners grouped around 8 Regional Secretariats. CBRN needs assessments were finalised in more 
than 26 Partner Countries, and 18 Partners completed their CBRN National Action Plans. 6 new projects were launched:  to support 
chemical  and  biological  waste  management  in  Central  Asia  countries;  ,  ensure  the  sound  management  of  chemicals  and  their 
associated wastes; as well as to deploy an On-Site Technical Assistant Expert in Southeast Asia; combat illicit traffic and enhancing 
the safety of medicines in Eastern and Central Africa and support the EU P2P - Export Control Programme for dual use goods (see 
below). This brings the total number of projects contracted under the CoE to 63. From a strategic perspective, 2017 witnessed the 
CoE focusing on the organization of table top (TTX) and field exercises (FX), which have the two-fold function:  to promote the 
Initiative's visibility and measure the impact of the projects on partner countries' inter-agency coordination  as well as to enhance its 
cooperation  with  partner  International  Organizations,  particularly  in  the  field  of  training.  In  October  2017  a  pilot,  specialized 
CBRN training was organized in cooperation with the NATO CBRNE Centre of Excellence located in Vyskov, Czech Republic. 

Among the challenges faced by the IcSP, there is a question of how best to undertake immediate conflict prevention and how to use 
early-warning analysis appropriately. In addition, up to the end of 2017 the IcSP had not been able to engage meaningfully with all 
relevant actors in the security sector, i.e. engagement  with military actors,  which is often key to preventing or ending a conflict. 
Given the regulation amendment in December 2017, actions on Capacity Building for Security and Development (CBSD) will join 
the IcSP success stories as of 2018.  

Relevant findings of evaluation and/or programme related studies 

IcSP Art. 3 and 4: 
The Mid-term evaluation of the IcSP was conducted in the framework of the Mid-term Review (MTR) Process as set out under 
Article 17 of the Common Implementing Regulation486. The final external evaluation report487 was delivered in June 2017 and the 
Staff Working Document488 was drafted subsequently. Based on the external evaluation, the Service considers that the IcSP is fit 
for purpose (i.e. achieves the objectives for which the instrument was designed) in its contributions to the delivery of EU external 
policy objectives during the evaluation period (2014 to mid-2017). It considered that the IcSP performs a unique function of crisis 
response  and  conflict  prevention,  triggered  by  EU  political  priorities,  contextual  needs  and  opportunities  in  fragile  and  conflict-
affected  contexts.  Its  multilateral  nature,  the  European  values  it  promotes  (including  the  core  value  of  peace),  its  niche  role, 
flexibility, and ability to take risks, are seen by Member States and other donors and stakeholders as the essential attributes which 
are  the  keys  to  its  relevance  and  added  value.  Furthermore,  it  successfully  provided  complementarities  and  synergies  within  the 
wider set of the EU’s external financing instruments. The IcSP is considered to be aligned with the Global Strategy for foreign and 
security policy. It has been responsive to beneficiary needs and to new challenges that have arisen, such as the fragmentation and 
criminalisation  of  violent  conflict,  extremism  and  terrorism,  and  growing  refugee  and  migrant  flows.  Based  on  the  external 
evaluation,  the  Service  considers  IcSP  to  be  effective,  delivering  on  its  objectives  and  commitments  in  a  politically  responsive 
manner.  Findings  also  suggest  that  important  contributions  to  the  mainstreaming  of  conflict  prevention,  democracy  and  good 
governance are being achieved; underlining that more could still be done to mainstream gender and human rights. The role of the 
instrument in promoting conflict sensitivity is recognised and could still be further expanded. The IcSP is found to be efficient due 
to its defining characteristics  of speed and  flexibility of action, and due to its added value. It is also recognised as an important 
driver of EU efforts to mainstream conflict-sensitivity. Lastly, it also acts as a vector to promote complementarity with other areas 
of EU external action, such as Common Security and Defence Policy actions in the context of the Comprehensive Approach, EU 
engagement in the Kimberley Process and broader efforts to advance and support the Women, Peace and Security Agenda.  
The findings of the Security Sector Reform (SSR) sector evaluation489 stated that the IcSP is flexible, can respond quickly, is 
risk-taking,  can  mobilise  significant  amounts  of  financing  in  a  short  period  of  time  and  can  be  used  to  address  SSR  politically-
sensitive issues. The EU has used IcSP SSR interventions to get a foot in the door to build relationships with local actors in order to 
promote its own political priorities. Not all IcSP interventions  have led  to long-term institutional reform (and to do  so they  will 
require  follow-up  on  support  from  the  IcSP  or  other  EU  instruments  and/or  other  donors).  However,  where  the  objective  is  to 
promote  longer-term  sustainable  change,  the  IcSP  has  a  niche  role  to  play  in  terms  of  testing  the  waters,  starting  dialogue  and 

486 Regulation (EU) No 236/2014 of the European Parliament and of the Council of 11 March 2014 
487 http://ec.europa.eu/dgs/fpi/documents/key-documents/icsp-mte-final-report.pdf 
488 SWD/2017/0607 final 
489 Available at https://webgate.ec.testa.eu/publications/studiesdb/Home.xhtml 

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assessing the interest and commitment of partner governments to engaging in serious SSR processes, and building basic capacities 
necessary for longer-term reforms to be sustained. 
The  findings  of  the  Migration  sector  evaluation490  stated  that  the  interventions  in  the  field  of  migration  launched  under  IcSP 
article 3 are an integral part of the EU external action policy, fulfilling a specific function in situations where a rapid reaction tool is 
required. While fulfilling this function, the  instrument  most often addresses the  needs of the beneficiary countries, related to the 
impact of sudden population movements that are highly relevant in local, social, economic and political terms. The interventions 
have,  as  a  whole,  contributed  to  the  achievement  of  the  objectives  of  the  project  portfolio,  particularly  in  terms  of  outputs  and 
outcomes,  while  the  assessment  of  their  impacts  is  more  difficult  to  evaluate,  due  to  the  complexity  of  the  implementation 
environment  and  the  short-term  nature  of  the  instrument.  However,  many  projects  do  indicate  relatively  high  effectiveness 
standards  and  significant  flexibility.  The  interventions  certainly  contributed  in  general  terms  to  the  improvement  of  the  life 
conditions of the involved communities, and to the creation of a more secure environment.   
The findings of the Counter-Terrorism/Preventing Violent Extremism sector evaluation491 state that the flexibility offered by 
the IcSP in terms of selection the implementing partner (IP) is probably a source of efficiency as it allows to select the IP that a) 
benefits  from  the  trust  of  the  beneficiary  (often  a  crucial  success  factor  in  the  field  of  security  assistance),  and  b)  uses  existing 
partners’ structures at local level, hence improving efficiency. Overall, most of the interventions are in the process of achieving a 
number  of  relevant  outputs  in  terms  of  training,  provision  of  grants,  equipment  and  infrastructure.  The  evaluators  found  several 
potential advantages of the instrument compared to other EU instruments: a capacity to implement initiatives relatively rapidly, a 
potential  for  piloting  innovative  initiatives,  for  preparing  longer  interventions  or  for  bridging  funding  gaps;  a  potential  for 
enhancing cooperation among initiatives and a capacity to fund interventions directly relevant to EU internal security. 

IcSP Art. 5: The MTR also stressed on the added value of the IcSP, promoting EU values despite the growing securitisation of its 
operational sector; as well as of some of its programmes under Article 5. The Counter Terrorism and Organised Crime programmes 
are mentioned as examples demonstrating the Instrument's capability to create entry points and take risks that "other donors  could 
or would not do"; whereas the CBRN Risk Mitigation Centres of Excellence Initiative is recalled as a positive example of pursuing 
regional integration, involving local stakeholders and foster sustainability by encouraging partner countries "to embed the activities 
and results into their own institutional programmes". In light of these findings, the MTR concluded that "The IcSP’s relevance will 
further  increase  in  the  years  to  come",  and  in  its  first  recommendation  invites  "The  European  Commission,  European  External 
Action Service, European Parliament, and European Council to ensure IcSP continuity post 2020". 

Information about forthcoming implementation (2018-2019)  

IcSP Art. 3 and 4: 
As measures under the first objective are non-programmable and respond to international developments and crises, it is not possible 
to outline  future implementation  measures. In relation  to the  second objective, the  following 7 outputs and policy results can be 
expected in 2018: 
  Support  to  in-country  civil  society  actors  in  conflict  prevention,  peace-building  and  crisis  preparedness  will  continue  in 
conflict-affected or post-conflict countries and regions. This support will be in addition to the 40 countries already within its 
scope on the basis of earlier IfS/IcSP funding in the period 2010-2017. The indicative thematic scope of support in 2018 will 
be: preventing violent extremism, strengthening the engagement of civil society organisations in the security sector, confidence 
building, and land related conflicts.  

  Strengthen  early  warning  and  early  response  systems  in  conflict-affected  countries  drawing  on,  and  enabling  cooperation 

between, local communities, civil society and national authorities. 

  Strengthen  the  capacities  for  participation  in  international  stabilisation  missions  building  the  capacities  of  police  and 
gendarmerie  services  from  EU  MS,  non-EU  contributing  countries  to  the  EU  Missions,  and  third  countries  to  participate  in 
international  crisis  management  missions  and  projects  of  the  EU,  the  UN,  the  African  Union  (AU)  and  other  International 
Organisations.  

  Support third parties engaged in inclusive peace mediation and dialogue processes at the international, regional or local levels - 
with a view to contributing to conflict prevention and resolution, contributing  to extend the reach and quality of EU  global 
engagement on mediation; 

  Support third countries, international organisations and civil society to curb use of natural resources to finance conflicts and to 
support  compliance  by  stakeholders  with  initiatives  such  as  the  Kimberley  Process  Certification  Scheme.  The  measure  will 
also  support  the  implementation  of  EU  Regulation  (2017/821)  laying  down  supply  chain  due  diligence  obligations  for  EU 
importers of tin, tungsten , tantalum and gold from conflict affected and high risk areas.  

  Strengthen the capacities of military actors in the exceptional circumstances foreseen in the  IcSP Regulation as amended by 
Regulation (EU) 2017/2306  (CBSD), to deliver development activities and security for development activities, in particular to 
protect  civilians  in  conflict  or  post  conflict  areas  and  to  contribute  to  restart  economic  activity  and  the  resumption  of  the 
provision of basic services. 

IcSP Art. 5:  
In relation to the third objective, the following outputs and policy results can be expected in 2018: 
  A  new  Climate  Change  project  part  of  2017  AAP  will  start  in  2018  and  aims  to  transform  the  potential  for  conflicts  into 
opportunities for cooperation and climate resilient development across sectors with a focus on the sustainable and cooperative 

490 Available at https://webgate.ec.testa.eu/publications/studiesdb/Home.xhtml 
491 Available at https://webgate.ec.testa.eu/publications/studiesdb/Home.xhtml 

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management of water, land and energy, thus serving overall cooperation within and between countries for improving climate 
resilience and stability purposes.  It intends to focus on fragile and vulnerable areas  within the Niger River Basin,  which are 
particularly suffering from conflict and the impacts of climate change and variability.    

  Continued support to partner countries in the areas of Counter Terrorism and Countering Violent Extremism will be provided 
in 2018. DEVCO is currently working to finalise a EUR 8,5 million facility of training and technical assistance in the field  of 
intelligence, CT CLOSE. The project is intended to create or strengthen the capacity to collect, assess and share information.  
In the area of prevention, a new action worth 4MEUR was launched in the beginning of 2018 and aims to increase the capacity 
of selected beneficiary countries to effectively manage violent extremist prisoners and to prevent radicalisation to violence in 
their prison systems. Another 3MEUR initiative aiming to strengthen the resilience towards violent extremism, among the most 
vulnerable groups of repatriated migrants in Afghanistan, will be launched in the 2nd quarter of 2018.  

  Continuing funding for disrupting the illegal networks that are disseminating drugs and other illicit products and facilitating the 
filling of the gaps in the programme that has so far had remarkable achievements, through activities at airports in Africa, Latin 
America and the Caribbean. In the first semester of 2018 a new initiative (EUR3.25 million) in the area of small arms and light 
weapons with UNODC will be launched.  

  With regard to protection of critical infrastructure, support on cyber security capacity building and cooperation will continue 
by  supporting  the  adoption  and  implementation  of  a  comprehensive  set  of  policy,  organisational  and  technical  measures.  In 
August  2017  a  new  EUR  3  million  action  in  the  area  of  cybercrime  was  approved  to  strengthen  the  capacities  of  States 
worldwide  to  apply  legislation  on  cybercrime  and  electronic  evidence  and  enhance  their  abilities  for  effective  international 
cooperation in this area, while ensuring compliance with international human rights standards and the rule of law. 
In the field of CBRN risk mitigation, strengthening national and regional CBRN governance and promoting a culture of CBRN 
safety internationally will continue. With the EU CBRN Risk Mitigation Centres of Excellence initiative – security platforms – 
having  reached  a  stage  of  maturity  in  2017,  further  efforts  will  concentrate  inter  alia  on  developing  its  sustainability  and 
involving  existing  local  expertise  and  experts,  enhancing  the  role  of  EU  delegations,  which  will  help  raising  the  political 
visibility of the initiative.  

 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation  (EU)  No 230/2014 of  the  European Parliament  and  of  the  Council  of  11  March  2014 
establishing an instrument contributing to stability and peace 

2014 - 2020 

2 338,7 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

9,1 
267,7 
276,8 

8,8 
321,6 
330,4 

8,9 
335,9 
344,8 

9,2 
251,1 
260,3 

10,1 
359,9 
370,0 

10,5 
366,2 
376,7 

10,7 
383,1 
393,8 

Total 
Programme 
67,3 
2 285,5 
2 352,8 

2017 

2018 

CA 
260,280 

Impl. Rate 
99,99 % 

PA 
233,317 

Impl. Rate 
97,99 % 

CA 
370,010 

Impl. Rate 
6,11 % 

PA 
294,265 

Impl. Rate 
21,45 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

95,61 % 

22,31 % 

99,21 % 

372,177 

244,926 

270,481 

302,747 

6,52 % 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

The '20/20/20' climate/energy targets should be met (including an increase to 30% of emissions reduction if the conditions are right) 
The EU Global Strategy emphasises that preventing conflicts and disasters affecting populations is more efficient and effective than 
engaging  with  crises  after  they  break  out.  Climate  change  is  now  acknowledged  to  be  a  threat  multiplier  that  catalyses  not  only 
resources  (water  and  food),  but  also  pandemics  and  displacement  of  fragile  populations  or  migrants.  Climate  change  and 
environmental degradation exacerbate conflicts and geographical moves of diseases and their vectors, linked or not to the migration 
of populations. 

Contribution to mainstreaming of climate action 
Under the 2014-2017 MIP of Article 5, two allocations for climate change have been included. A first action was approved in 2015 
and  is  being  implemented  through  UNEP.  The  second  action  of  EUR  5M  will  focus  on  the  biosecurity-climate  nexus  and  its 
implementation  will  start  in  2018.  The  project  will  focus  on  fragile  and  vulnerable  regions  in  the  Neighbourhood  and  beyond 
(Mediterranean sea, Black Sea, Central  Asia, South East  Asia),  which are particularly  suffering  from conflicts and specific risks 
and diseases.  A new action to be included in the AAP 2018 is under preparation.  Under the umbrella of the CBRN Risk Mitigation 
Centres of Excellence and its 58 partner countries, this activity  will focus on the risk for health (biosecurity) and the  food chain 

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caused  by  climate  change  in  order  to  better  protect  the  EU,  its  neighbouring  countries  and  migrating  populations.  It  will  aim  at 
setting up an early warning system to monitor the migration of diseases and their vectors (human, animal, plants) caused by climate 
change, in close coordination with International experts and stakeholders. The planned IcSP action on Climate Change and security 
will  aim  to  transform  the  potential  risk  for  health  into  opportunities  for  cooperation  between  countries  while  improving  climate 
resilience and stability. Moreover, based on specific risk assessment, it intends to focus on important vulnerable routes of migration 
which are particularly suffering from conflict and the impacts of climate change. 

Relevant objective/output 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Specific  objective:  Addressing  global  and  trans-regional  effects  of  climate  change  having  a  potentially 
destabilising impact. 
* The total amount for 2018-2020 constitutes 2,2% of Article 5 (Assistance in addressing global and trans-regional threats and emerging threats, 
Budget line: 210501 – Global, trans-regional and emerging threats) of the Instrument contributing to Stability and Peace, as per the MIP adopted 
for the programming period 2018-2020, and is planned for commitment in 2018. 

5* 

0 

2014 
0 

2014 – 2016 
2015 
5 

2017-2018 estimates 

2016 
0 

2017 
5,5 

2018 
0 

2019-2020 programming 
2020 
2019 
0 
8,5 

Total 
2014-2020 
19 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-2020 
programming period (totals by programme in EUR million). 

Gender mainstreaming 
Gender is a key cross-cutting issue for the IcSP: it is integrated into all actions, both non-programmable crisis response measures 
under Article 3 and programmable actions on conflict prevention, peace-building and crisis preparedness and in addressing global 
and trans-regional threats  under Articles 4 and 5, respectively. Due attention is paid to the relevant provisions of the  legal basis 
particularly those related to combating gender-based violence and promoting the participation of women in peace-building. In this 
regard,  key  priority  is  given  to  ensuring  that  all  actions  contribute  to  delivering  on  EU  commitments  on  Women,  Peace  and 
Security (WPS) based on the Comprehensive EU Approach to the Implementation of UNSCR 1325 and 1820 on WPS (2008). 

Taking stock of the support and guidance provided in the previous years by the IcSP Gender Facility the staff at Headquarters, in 
the regional Teams and in the EU Delegations mainstreamed gender more systematically when designing Article 3 and Article 4 
projects,  addressing  Women,  Peace  and  Security  (WPS)  issues  more  efficiently  in  all  IcSP  actions.  A  new  action  in  the  Annual 
Action Programme 2017 was adopted aiming to prevent the rise of violent extremism by strengthening capacities of local actors to 
address its gender dynamics ' Preventing Violent Extremism: A Gender Sensitive Approach". 

In addition, a service contract for a new Gender Facility has been signed in 2017, to take into account the implementation of the 
Commission's Gender  Action Plan 2016-2020. In 2017, 51.6% of contracted actions reported a G-Marker 1, 8.3% reported a G-
Marker 2 and the remaining 40.1% reported a G-Marker 0492. This data is provided in line with Objective 5.3.2 of the EU Gender 
Action Plan 2016-20493. 

4. Performance information 

General objectives 
General Objective 1: To provide direct support for the Union's external policies by increasing the efficiency and coherence of the 
Union's actions in the areas of conflict prevention, crisis preparedness and crisis response and peace-building, and in addressing 
global and transregional threats. 
Indicator 1: Number of conflicts worldwide* 

Baseline 
2012 

Total: 405 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

Target 2020 

Actual results* 

- 44 highly violent 
conflicts (level 5: 19 
wars and level 4: 25 
limited wars); 

Total: 424 
-  46  highly  violent 
conflicts  (level  5:  21 
wars  and  level  4:  25 
limited wars); 

Total: 409 
-  43  highly  violent 
conflicts  (level  5:  19 
wars  and  level  4:  24 
limited wars) 

- 177 violent conflicts 
(level 3); 

177 
- 
conflicts (level 3) 

violent 

180 
- 
conflicts (level 3) 

violent 

- 184 non-violent 
conflicts (level 2: 85 
non-violent crisis and 
level 1: 99 disputes)  

-  201  non-violent 
conflicts  (level  2:  89 
crises 
non-violent 
level  1:  112 
and 
disputes)  

-  186  non-violent 
conflicts  (level  2:  89 
non-violent 
crises 
level  1:  97 
and 
disputes)  

20 

Total: 402 
-38  highly  violent 
conflicts  (level  5: 
18  wars  and  level 
4: 
limited 
wars) 
violent 
- 
conflicts (level 3) 
-  176  non-violent 
conflicts  (level  2: 
non-violent 
78 
crises and level 1:  
98 disputes)  

188 

Total: 379 
-36  highly  violent 
conflicts  (level  5: 
20  wars  and  level 
4: 16 limited wars) 

187 

- 
conflicts (level 3) 

violent 

-  156  non-violent 
conflicts  (level  2: 
81 
non-violent 
crises  and  level  1:  
75 disputes)  

Total: 399 

492 In 2016, 51% of contracted actions reported a G-Marker 1,3% reported a G-Marker 2 and the remaining 46% reported a G-Marker 0, which shows a progress in 
Gender-focused actions. 
493 'Transforming the Lives of Girls and Women through EU External Relations, 2016-20 '– SWD(2015) 182 final of 21/09/2015 

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*Source: Conflict Barometer published annually by the Heidelberg Institute for International Conflict Research; http://hiik.de/en/index.html  
Note: This indicator is used on a trial basis and will need to be evaluated over a longer time period whether it is appropriate for the assessment of 
the EU’s impact on global crises. 

The indicator is based on  the “Conflict Barometer”  of the  Heidelberg Institute  for International Conflict  Research (HIIK)  which 
measures the number of crises in the world and quantifies crises by intensity of conflict as: wars (level 5); limited wars (level 4); 
violent crises (level 3); non-violent crises (level 2); disputes (level 1). 

The indicator has the merit of establishing a global picture of the situation annually, thus making it possible to track conflicts over 
time based upon empirical evidence. However, it is difficult to establish a direct link between CFSP or IcSP interventions and any 
particular outcome as regards the overall global level of conflict or in relation to the country/region concerned by the intervention. 
For  example,  IcSP  responses  often  require  a  collective  effort  based  on  partnerships  with  other  donors,  civil  society  actors, 
multilateral and regional partners. 

Moreover, the EU does not intervene in all conflicts and therefore no correlation can be established between IcSP interventions and 
the number of conflicts. The evolution of a specific conflict, as measured by the Conflict Barometer in terms of intensity, depends 
on  factors  which  go  beyond  the  results  and  the  scope  of  a  specific  EU  intervention.  These  interventions  have  to  be  seen  as  a 
contribution to the ultimate goal of either a de-escalation of a conflict or avoiding its escalation, in light of the EU’s comprehensive 
approach and the efforts of the international community. 

Nonetheless, this is a useful indicator of the EU’s global impact as a stabilising force. As a global player, the EU often has certain 
credibility and is perceived as a more neutral actor, lending it a comparative advantage when intervening in many conflicts to offer 
assistance in preventing conflict or avoiding escalation. Thus, an impact can be achieved when a response is provided at EU level, 
as a combined effort provides increased leverage over local authorities and international partners. 

2017  is  the  third  consecutive  year  when  the  worldwide  insecurity  shifted  from  an  increasing  trend  to  a  slight  decrease  in  total 
worldwide conflicts as measured by the Barometer. 

Specific objectives 

Specific Objective 1: In a situation of crisis or emerging crisis, to swiftly contribute to stability by providing an effective response 
designed  to  help  preserve,  establish  or  re-establish  the  conditions  essential  to  the  proper  implementation  of  the  Union's  external 
policies and actions in accordance with Article 21 TEU. 
Indicator 1: Percentage of projects adopted within 3 months of a crisis context (date of presentation to PSC). 

Baseline 
2012* 

2011-2013 69 % 

2014 

2015 

2016 

2017 

Milestones foreseen 

68 % 

64 % 

Actual results 
61% 

47% 

2018 
70 % 

2019 

Target 2020 

75 % 

*The indicator measures swift mobilization of resources to implement projects for short-term crisis response and conflict prevention where other 
financial instruments are not available and/or where the IcSP needs to contribute to a comprehensive response. 

The  total  number  of  actions  under  this  objective  adopted  in  2011  was  47  of  which  26  were  adopted  (COM  Decision)  within  3 
months of a crisis context (presentation to PSC), a percentage rate of 57%. The number of actions adopted in 2012 was 37 of which 
29 were adopted (COM Decision) within 3 months of a crisis context, a percentage rate of 78%. In 2013, the percentage rate was 
72%.  Therefore,  the  average  percentage  rate  for  the  three  year  baseline  period  amounts  to  69  %.  The  objective  is  to  reach  a 
percentage rate of 75 % by 2020.  

In 2014 of the 30 projects adopted, 28 responded to situations of crisis or emerging crisis, whereas 2 related to situations  adopted 
via  Comitology  as  Interim  Response  Programmes  in  line  with  Article  7  (6)  of  the  IcSP  Regulation.  68%  were  adopted  within  3 
months of a crisis context. 

In  2015,  of  the  44  projects  adopted  41  respond  to  situations  of  crisis  or  emerging  crisis  whereas  3  relate  to  protracted  conflict 
situations adopted via Comitology as Interim Response Programmes in line with Article 7 (6) of the IcSP Regulation. 64% of IcSP 
actions were adopted within 3 months of a crisis context. 

In  2016,  of  the  39  projects  adopted  36  respond  to  situations  of  crisis  or  emerging  crisis  whereas  3  relate  to  protracted  conflict 
situations adopted via Comitology as Interim Response Programmes in line with Article 7 (6) of the IcSP Regulation. 61% of IcSP 
actions were adopted within 3 months of a crisis context against an annual target of 65 %.The use of Interim Response Programmes 
(requiring Comitology) to respond to protracted crises globally, particularly in regions of key EU political interest (Ukraine, Libya 
and Bosnia and Herzegovina) alongside the need to better schedule measures in the context of contributing to comprehensive EU 
responses can account for the decrease in the performance indicator.  

In  2017,  of  the  36  projects  adopted  33  respond  to  situations  of  crisis  or  emerging  crisis  whereas  3  relate  to  protracted  conflict 
situations adopted via Comitology as Interim Response Programmes in line with Article 7 (6) of the IcSP Regulation. 47% of IcSP 
actions were adopted within 3 months of a crisis context against an annual target of 65%. The use of Interim Response Programmes 
(requiring  Comitology) to respond to protracted crises globally, particularly in regions  of key EU political interest  alongside the 
need to better schedule measures in the context of contributing to comprehensive EU responses can account for the decrease in the 

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performance indicator. Finally, the number of actions being launched is higher than measured during the baseline year (2013) while 
the number of staff has been reduced when compared to the baseline year.  

Expenditure related outputs 

Outputs 

Number of estimated response actions in situations of crisis or emerging crisis (except CBSD actions) 
Number of estimated response actions in situations of crisis or emerging crisis for CBSD 
Total number of estimated response actions in situations of crisis or emerging crisis (including CBSD 
actions) 

Budget line 

19 02 01 
19 02 01 01 
19 02 01 
19 02 01 01 

Draft Budget 2019 
Number  EUR million 

32 
3 

35 

236,5 
20,3 

256,8 

The IcSP component “crisis response” is not programmable. However, based on previous IfS experience, some 35 response actions 
are expected to be launched in 2019, including CBSD. 

Outputs 

Number  of  estimated  response  actions  in  situations  of 
crisis  or  emerging  crisis  (projects  launched,  except 
CBSD actions) 
Number of estimated response actions in situations of 
crisis or emerging crisis (CBSD projects launched) 
Total number of estimated response actions in situations 
of crisis or emerging crisis (including CBSD actions) 

F 

P 

30 

44 

F  N.A. 
P  N.A. 
32 
F 
30 
P 

N.A. 
N.A. 
32 
44 

2014 
32 

Number of outputs foreseen (F) and produced (P) 
2019 
32 

2017 
32 

2016 
32 

2018 
32 

2015 
32 

39 

N.A. 
N.A. 
32 
39 

36 

N.A. 
N.A. 
32 
36 

3 

35 

3 

35 

2020 
32 

3 

35 

Specific Objective 2: To contribute to the prevention of conflicts and to ensuring capacity and preparedness to address pre- and 
post-crisis situations and build peace. 
Indicator 1: Number of processes and entities with strengthened capacity attributable to IcSP funding 

Baseline 
2012* 

Processes: 734 
Entities: 449 
Total: 1 183 

2014** 

2015 

2016 

2017 

Milestones foreseen 

Processes: 512 
Entities: 861 
Total: 1 373 

Processes: 961 
Entities: 454 
Total: 1 415 

Processes: 996 
Entities: 468 
Total: 1464 

Processes: 922 
Entities: 565 
Total: 1487 

Actual results 

2018 
Total: 1 200 

2019 
1550 

Target 2020 

Total: 1 650 

Expenditure related outputs 

Outputs 

Number of actions launched under the Annual Action Programme (except CBSD actions). 
Number of actions launched under the Annual Action Programme for CBSD 
Total  number  of  actions  launched  under  the  Annual  Action  Programme  (including  CBSD 
acions). 

Budget line 

19 02 02 
19 02 02 01 
19 02 02 
19 02 02 01 

Draft Budget 2019 

Number 
5 
1 

EUR million 
33 
2,5 

6 

35,5 

Outputs 

Number  of  actions  launched  under  the  Annual 
Action Programme. 

F 
P 

2014 
5 
5 

Number of outputs foreseen (F) and produced (P) 
2017 
5 
7 

2016 
5 
7 

2018 
5 

2015 
5 
7 

2019 
6 

2020 
6 

*In  2012,  the  base  line  figure  was  1183,  composed  respectively  of  734  processes  and  449  entities  with  strengthened  capacity 
attributable to IFS funding in relation to a budget of EUR 22 million. In 2014, the figure was 1373, composed respectively of 512 
processes and 861 entities  with  strengthened capacity attributable to IcSP  funding in relation to a budget of EUR 24  million. In 
2015, the figure rose to 1415, composed respectively of 961 processes and 454 entities in relation to a budget of EUR 19 million. 

**Results stemming from the contracting of the year n-1 Annual Action Programme. 

The indicator measures the strengthened capacity of EU and beneficiaries of EU assistance to prevent conflicts, address pre- and 
post-crisis situations and to build peace. It refers to the annual number of processes (for example: mediation processes, training and 
coaching)  and  entities  (local  communities,  regional  organisations,  NGOs,  technical  bodies,  media  outlets)  benefiting  from 
strengthened capacity, attributable to IcSP funding in conflict prevention, crisis preparedness and peace-building through the  so-
called “Peace Building Partnership”. 

In 2017, the figure rose to 1487, composed respectively of 922 processes and 565 entities in relation to a budget of EUR 29 million. 
Examples of processes include, among others, the organisation of coaching, trainings (including trainings of trainers) and capacity 
building for civilians participating in stabilisation  missions, activities to support mediation processes such as technical assistance, 
ad hoc guidance and specific researches, recovery and peacebuilding assessments,  It also includes trainings for civil society and 
other stakeholders in third countries on mediation and peacebuilding, activities for women and youth to prevent violent extremism), 
(Tunisia) Social cohesion activities for youth (Venezuela, Burundi), inclusive dialogues (Kenya), .  

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The entities covered inter alia civil society and community-based organizations, regional and technical organizations, private sector 
operators, traditional as well local and government authorities.  

Specific Objective 3: To address specific global and trans-regional threats to peace, international security and stability. 
Indicator 1: EU contribution towards tackling global and transregional threats, measured as: 
Milestones foreseen 

Baseline 
2012 

2014 

2015 

2016 

2017 

2018 

2019 

Global and trans-regional threats 

18.150 

18.300 

Actual results 
18.500 

18.700 

5 

45 

12 

2 

8 

52 

12 

2 

Actual results 

8 

Actual results 

55 

Actual results 

12 
2 

Actual results 

2 
14 

Actual results 

11 

14 

14 

10 

59 

29 

2 

14 

Target 2020 

18.600 

12 

70 

20 

2 

14 

1.1. Risk Mitigation: Number of former weapon 
scientists talents redirected to peaceful activities 
(Moscow and Kiev):  18.000** 

1.2. Strenghtening capabilities against biological 
threaths: Number of facilities upgraded to international 
standard level:  2 

1.3. Regional centres of excellence: Number of partner 
countries benefitting from the assistance of the EC 
acting in multilateral framework:  15 

1.4. Countering Terrorism: Number of partner 
countries covered by the countering terrorism activities 
financed by the EU:  8 

1.5. Fighting organised crime: Number of major drug 
smuggling routes tackled by activities supported by the 
EU:  2 

1.6. Protecting critical infrastructure: The number of 
countries covered by protection of critical 
infrastructure activities:  4 
* Cumulative ** Including TACIS period (from1994) 

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 

EUR million 

1. Number of countries involved /projects covered in the chemical, biological, radiological 
and nuclear (CBRN) Centres of Excellence initiative 
2. Number of countries/regional organisations covered by critical infrastructure activities 
3. Number of major drug smuggling routes covered by the organised crime activities 
4. Number of countries covered by the cyber-crime activities 
5. Number of countries covered by counter  terrorism activities 
6. Climate change project  
7. CBSD 
8. Export Support Facility project 
Total 

21 05 01 

21 05 01 
21 05 01 
21 05 01 
21 05 01 
21 05 01 
21 05 01 
21 05 01 

57 

14 
2 
30 
16 
5 
2 
10 

23 

9.5 
0 
10 
22.5 
0 
6.3 
2.6 
73.9 

Outputs 

1.  Number  of  countries/projects  involved  in  the 
Centres of Excellence initiative 

2. Number of countries/regional organisations covered 
by critical infrastructure activities 

3. Number of major drug smuggling routes covered by 
the organised crime activities 

4. Number of countries covered by counter  terrorism 
activities 

5. Climate change projects 

6. Export Support Facility projects 

2014 
40/40 
48/42 
10 
11  
2 
2 
12 
12 
0 
0 
6 
6 

F 
P 
F 
P 
F 
P 
F 
P 
F 
P 
F 
P 

2019 
59/60 

14 

2018 
57/57 

Number of outputs foreseen (F) and produced (P) 
2017 
50/55 
59 
14 
14 
2 
2 
16 
29 
5 
5 
10 
10 

2016 
50/51 
56/60 
14 
14 
2 
2 
16 
12 
5 
1 
10 
10 

2015 
45/48 
52/53 
12 
12 
2 
2 
14 
14 
2 
0 
10 
10 

16 

10 

2 

6 

14 

2 

16 

7 

10 

2020 
60/60 

14 

2 

16 

8 

10 

5. Programme contribution to the Sustainable Development Goals 

IcSP  contributes  to  the  achievement  of  gender  equality  and  the  empowerment  of  women  and  girls  under  SDG  5  as  well  as 
contributing to the promotion of peaceful and inclusive societies for sustainable development and to providing access to justice for 
all and to build effective, accountable and inclusive institutions at all levels in line with SDG 16. 
Specifically, IcSP contributes to: 

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  Sub-Goal 16.1 'Significantly reduce all forms of violence and related death rates everywhere', 
  Sub-Goal 16.3 'Promote the rule of law at the national and international levels and ensure equal access to justice for all'. 
  Sub-Goal 16.a 'Strengthen relevant national institutions, including through international cooperation, for building capacity 

at all levels, in particular in developing countries, to prevent violence and combat terrorism and crime'. 

  Sub-Goal 16.7 'Ensure responsive, inclusive and participatory and representative decision making at all levels'. 

7. Programme related additional information 

The Regulation on the  Capacity Building for Security and Development (CBSD) amending the IcSP with an aim to improve the 
European Union's support to security and sustainable development in Partner  Countries was adopted on 12 December 2017494. It 
allows for assisting military actors to perform development and human security related tasks, under exceptional and clearly defined 
circumstances and only in cases when the military performs a development objective in EU Partner Countries. CBSD actions will 
contribute  to  this  and  to  strengthening  the  role  of  the  EU  as  a  Global  Actor  by  enabling  an  integrated  approach  to  the  Security 
Sector Reform (SSR). 

The IcSP financial envelop is increased, by EUR 100 million over the period  2018-2020 to implement the new type of assistance 
measures.  

494 Regulation (EU) 2017/2306 of the European Parliament and of the Council of 12 December 2017 

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HEADING 4: Global Europe 

Humanitarian aid 
Lead DG: ECHO 

I. Programme Overview 

What the programme is about 

The Humanitarian aid programme (HUMA) provides effective relief and protection to populations affected by natural or man-made 
disasters on the basis of needs. As the world's largest humanitarian aid donor, the EU and its Member States play a central role in 
tackling humanitarian challenges. HUMA provides aid to most vulnerable populations in countries in crisis, including "forgotten" 
crises. In addition, the EU is committed to build capacity and resilience of vulnerable communities and has put in place a resilience 
action plan.  

In  2017,  the  European  Commission  provided  EUR  1,  4  billion  in  humanitarian  aid  (excluding  EDF  and  externally  assigned 
revenue)  to  the  most  vulnerable  across  more  than  80  countries.  When  adding  external  assigned  revenue  from  Member  States 
committed  for  the  Facility  for  Refugees  in  Turkey  or  operations  in  Central  and  West  Africa  and  EDF  appropriations  (EUR  837 
million) as well as Emergency Support in the EU (EUR 198 million), the EU, in 2017, managed a total amount of EUR 2,4 billion 
for humanitarian aid. 

The humanitarian aid policy is based on the humanitarian principles, in line with Article 214 of the Treaty on the Functioning of the 
European Union. The Commission contributes actively to shaping humanitarian advocacy and policy development at the European 
and the  global level, including through humanitarian fora such as the Good Humanitarian Donorship initiative, the Humanitarian 
Affairs  Segment  of  the  UN  Economic  and  Social  Council  (ECOSOC),  humanitarian  events  in  the  margins  of  the  UN  General 
Assembly,  the  UN  Office  for  the  Coordination  of  Humanitarian  Affairs  (OCHA)  Donor  Support  Group,  the  International 
Committee  of  the  Red  Cross  (ICRC)  Donor  Support  Group,  and  the  International  Federation  of  Red  Cross  and  Red  Crescent 
Societies (IFRC) Donor Advisory Group. The Commission also holds regular strategic dialogues with its key humanitarian partners 
including the major UN operational agencies.  

EU added value of the programme 

The aim of the humanitarian aid policy as defined in Article 214 of the TFEU and the Council Regulation 1297/96 is to provide ad 
hoc assistance, relief and protection to people in third countries who are victims of natural or man-made disasters, in order to meet 
the humanitarian needs resulting from these situations. 

Over the years, the EU has established itself as an important actor in humanitarian action both at global and field level. Its extensive 
network  of  humanitarian  field  experts  based  in  countries  in  crisis  is  a  key  element  in  its  comparative  advantage  as  a  donor. 
Providing rapid and flexible  assistance both in the  major crises and in  so-called "forgotten crises" has become  a  hallmark of the 
EU's profile as a donor.  

The EU's action as a humanitarian aid donor is complementary with EU Member States' bilateral contributions in response to crises. 
A share  of the annual EU  humanitarian aid budget is pre-allocated to on-going crises and for prevention/preparedness  measures, 
while the rest is deployed to respond to new crises or deterioration of existing ones. 

II. Programme Update 

Implementation Status (2014-2017) 

The implementation of the programme for humanitarian assistance is on track. The annual working programme – called "General 
Guidelines for Operational Priorities for Humanitarian Aid (GGOPHA)495" – establishes priorities on the basis of the assessment of 
foreseen  humanitarian  aid  needs.  The  working  programme  provides  sufficient  flexibility  to  adapt  priorities  to  new  crises  and 
evolving humanitarian aid needs. Between 15 % and 20 % of the budget is set aside as an operational reserve for unforeseen needs. 

Key achievements 

In 2017, the European Commission provided over EUR 2, 2 billion (including EDF and externally assigned revenues) in aid to the 
most vulnerable across more than 80 countries, reaching over 129 million beneficiaries496. 
In 2017, more than 50 % of the Humanitarian budget went to most vulnerable countries497 and an additional 15.8 % was allocated to 
forgotten  crises  (crises  with  little  media  attention  and  poor  coverage).  72  %  of  the  contracts  were  issued  within  a  very  short 
timeframe (11 days). In addition, the Union is committed to build capacity and resilience of vulnerable communities and has put in 
place a resilience action plan for which 80 % of actions are on target. 

495  SWD(2017) 464 final  
496  These  statistical  data  are  based  on  the  aggregation  of  the  estimated  number  of  'action  beneficiaries'  as  declared  by  the  partners  implementing  humanitarian 
projects funded by DG ECHO. One single individual beneficiary in need of humanitarian assistance can benefit from more than one humanitarian action  and 
from more than one project.  

497 Based on the Index for Risk Management, a tool for the comparative analysis of countries to identify their level of risk to humanitarian crisis and disaster. 

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By way of an example of the EU's response to major crises, the Union continues to deliver life-saving assistance and support to 
millions of people across Syria. The  EU's humanitarian assistance is carried out in a principled manner to  fulfil the needs of  the 
most  vulnerable Syrians throughout the  country.  Aid is delivered  from all  humanitarian hubs, including across conflict lines and 
international border crossings. The assistance contributes to the vital delivery of food, medicine, water, and shelter for millions of 
Syrians directly affected and/or internally displaced by the conflict. In neighbouring Lebanon, EU funding has contributed to cash 
assistance  for  the  most  vulnerable  refugees,  secondary  healthcare  for  life-saving  cases,  non-formal  education  and  shelter  – 
including  water,  hygiene  and  sanitation  –  to  improve  the  living  conditions  of  the  vulnerable  families  most  affected  by  the 
displacement.  In  Turkey  and  Jordan,  the  EU  supports  the  most  vulnerable  refugees  inter  alia  through  cash  assistance,  as  this  is 
considered  the  most  cost-efficient  and  dignified  method.  Furthermore,  the  Union  contributes  to  the  renewed  Partnership 
Programmes ("compacts") with Lebanon and Jordan.  

On  5  April  2017,  the  European  Union,  together  with  Germany,  Kuwait,  Norway,  Qatar,  the  United  Kingdom  and  the  United 
Nations, co-chaired the Brussels Conference on supporting the future of Syria and the region. The conference raised awareness on 
the plight of affected civilians in Syria and resulted in the pledging of USD 6 billion (EUR 5, 6 billion) for 2017.  

The  EU's  principled  and  needs-based  approach  to  humanitarian  aid  also  includes  addressing  ‘forgotten  crises’;  the  EU  was  thus 
present in every significant humanitarian crisis in 2017 with a variety of adapted funding tools. In larger crises, the EU consistently 
responded to situations where other donors were not present and often played the role of coordinator and catalyst.  

Evaluation/Studies conducted 

The  duration  of  the  Humanitarian  Aid  Regulation  (Council  Regulation  (EC)  No  1257/96)  is  not  limited  to  the  duration  of  one 
Multi-annual  Financial  Framework.  Evaluations  could  thus  cover  parts  of  two  different  MFF  cycles.  In  addition,  because  of  the 
‘continuous’ nature of humanitarian operations, it is deemed that evaluation results have a validity for the medium term (3-5 years) 
– unless actions have been substantially  modified –  which  also provides a basis for  DG  ECHO’s evaluation  approach, by  which 
basically all humanitarian interventions are evaluated over a five-year period.  

The following evaluations were finalised in 2017 and beginning of 2018: 

  Comprehensive evaluation of European Union Humanitarian Aid, 2012-2016 
  Evaluation of the EU's interventions in the humanitarian Health sector, 2014-2016 
  Evaluation of the EU's humanitarian assistance in the Southern Africa and Indian Ocean Region, 2012-2016 
  Evaluation of the EU’s humanitarian interventions in India and Nepal, 2013-2017  
Evaluations are published on: http://ec.europa.eu/echo/funding-evaluations/evaluations_en  
The evaluation (Commission's staff working document498) on the comprehensive evaluation of European Union Humanitarian Aid, 
(2012-2016)  takes  into  account  the  result  of  an  external  study  which  builds  on  a  set  of  27  evaluations  carried  out  during  the 
evaluation period and complementary research. The evaluation concludes that the EU is a principled, needs-based donor with some 
unique  features,  such  as  its  approach  to partnerships,  its  field  network  and  its  contributions  to  shaping  the  humanitarian  system.  
Budget allocations were found to be relevant to the needs of the targeted populations and to the humanitarian aid objectives, and to 
be driven by comprehensive and robust needs assessments. 

EU-funded  actions  were  found  to  be  overall  cost-effective  and  positively  contributing  to  saving  lives,  reducing  morbidity  and 
suffering as well as improving dignity of life of populations affected by disasters. The scale of funding dedicated to humanitarian 
aid actions allowed the EU to have a real impact on the ground. As resources were limited compared to the overall humanitarian 
needs, the EU had to make strategic choices during the evaluation period, with an increasing focus on the Middle East and North 
Africa  and the European neighbourhood (i.e. related to the Syrian crisis). The Commission selected appropriate partners and the 
Commission's humanitarian field network provided overall high-quality support.  

EU-funded actions provided clear added value notably achieved through: focusing on forgotten crises, as in the 2012-2016 period 
16% of EU funding was allocated to forgotten crises, compared to 12% for all other donors; filling gaps in global humanitarian aid 
by addressing needs in areas that were difficult to access, and providing a rapid response at the onset of several crises (e.g. Syria, 
Sudan, Burundi crisis); and by funding sectors and themes that were underfunded by other donors (e.g. protection sector, education 
in emergencies). 

Areas  for improvement encompass developing,  when appropriate, a more programmatic approach to the partnership between the 
EU  as  a  donor  and  its  humanitarian  partners;   increasing  the  involvement  of  local  implementing  partners  in  the  delivery  of  EU-
funded  actions;  scaling  up  successful  innovative  approaches  and  improved  reporting;  more  systematic  coherence   and  synergies 
between  the  EU  humanitarian  aid  and  civil  protection  activities;  better  communication  of  the  rationale  of  the  EU's  strategic 
directions; as well as continued emphasis on Linking Relief, Rehabilitation and Development (LRRD) and defining exit strategies. 

Forthcoming implementation (2018-2019)  

In  2018,  the  Commission,  through  the  Humanitarian  Aid  programme,  will  maintain  its  commitment  to  rapid  and  needs-based 
assistance with over 58% of the initial budget allocated to crises in most vulnerable countries and over 15% to forgotten crises499. 
The remainder of the budget will be channelled to the victims of other major man-made and natural disasters. The programme will 

498 Publication scheduled by end of June 2018. 
499 As example : Algeria, Burkina Faso, Cameroon, Central America, Chad, Colombia, Mali, Mauritania, Niger, Pakistan, Philippines, Senegal, Sudan, Ukraine 

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also continue to support vulnerable countries in establishing resilience priorities. The aim is for at least 20 countries to have country 
resilience priorities in place by 2020.  

100% of humanitarian aid budget implemented is needs-based; 

Activities  are  planned  annually  on  the  basis  of  the  outcome  of  needs  assessment  exercises  conducted  every  year.  For  2018,  the 
following activities/outputs are planned: 
 
  >15% initial planned budget is spent in forgotten crises; 
  At least 8% of initial adopted budget allocated to Education in Emergencies; 
 
  Humanitarian aid is delivered rapidly, for instance, contracts are issued within short timelines (11 days). 

35% of aid provided through cash transfers modalities; 

On 14 March 2018, the Commission amended its Decision on the Facility for Refugees in Turkey by adding a second tranche of an 
additional EUR 3 billion. It is proposed to finance EUR 550 million of the EU budget contribution by reinforcement and EUR 50 
million by earmarking of Humanitarian Aid in the present draft budget. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation No 1257/96, Regulation concerning humanitarian aid 

Legal Basis 

Period of application 

2014 - 2020 

Reference Amount 
(EUR million) 

Administrative support 
Operational appropriations 
Total 
2. Implementation rates 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

9,0 
1 072,7 
1 081,7 

9,1 
1 087,8 
1 096,9 

8,8 
1 375,3 
1 384,1 

9,0 
1 271,0 
1 280,0 

9,4 
1 076,0 
1 085,4 

9,6 
1 642,3 
1 651,8 

9,8 
971,6 
981,4 

Total 
Programme 
64,7 
8 496,7 
8 561,4 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

1 280,050 

100,00 % 

1 392,934 

99,63 % 

1 085,394 

83,61 % 

1 094,987 

23,76 % 

Authorised appropriations (*) 

2 147,536 

97,81 % 

2 211,126 

96,00 % 

1 133,153 

83,51 % 

1 195,143 

23,21 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 

Disaster  preparedness  activities  funded  through  the  Humanitarian  Aid  budget  (budget  line  23  02 
02) aim to increase the resilience of local communities to withstand climate related disasters 

Relevant objective/output 

Budget 2018  
(EUR million) 
50 

DB 2019  
(EUR million) 
51 

2019-2020 programming 
2020 
2019 
52,02 
51 
* In 2017, an additional EUR 53 million was mainstreamed in humanitarian operations through the budget line 23 02 01.   

2014 – 2016 
2015 
37,3 

2017-2018 estimates 

2017 
43.1* 

2016 
37,9 

2018 
50 

2014 
36,2 

Total 
2014-2020 
307,52 

Gender mainstreaming 
In its commitment to quality programming, several assessment parameters have been developed, one of them being the Gender-Age 
Marker.  The  EU  is fully committed to ensuring that its humanitarian aid takes into account the different  needs and capacities of 
women and men of all ages.  

The Gender-Age Marker is a tool that assesses to what extent humanitarian actions integrate gender and age considerations. The 
Gender-Age Marker uses a set of four criteria to assess how strongly humanitarian actions are adapted to and integrate gender and 
age considerations. The Gender-Age Marker represents a new generation of assessment tools and strengthening the integration of 
gender and age concerns is an organizational change process for partners that can take time. In the coming years, DG ECHO will 
continue  the  targeted  training  of  implementing  partners,  as  well  as  the  dissemination  and  further  development  of  guidance  and 
toolkits  on  the  gender-age  cross-cutting  issues.  The  development  of  operational  best  practices  will  continue  to  be  based  on 
operational experience. Systematic monitoring of operational guidance implementation via feedback loops will be ensured taking 
into  account  the  results  of  the  assessment  of  the  first  three  years  of  implementation.  A  report  will  be  published,  including  final 
marking data (.e.g. what percentage of projects has obtained a mark "0", "1", "2", or "N/A" according to the Gender Age Marker).  

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4. Performance information 

General objectives 

General  Objective  1: The  aim  of  the  humanitarian  aid  policy  as  defined  in  article  214  of  the  Treaty  on  the  Functioning  of  the 
European Union and the  Council Regulation 1297/96 is to provide ad hoc assistance and relief and protection for people in third 
countries who are victims of natural or man-made disasters, in order to meet the humanitarian needs resulting from these different 
situations. 
Indicator 1: Number of deaths due to natural disasters (Source: As recorded in the EM-DAT 500database) 

Baseline 
Annual average 2010-2012 

2014 
≤ 100 000 

2015 
≤ 100 000 

2016 
≤ 100 000 

2017 
≤ 100 000 

2018 
≤ 100 000 

2019 
≤ 100 000 

Milestones foreseen 

98 689 

Actual results 

20 882  

23 834 

10273 

9066 

Target 2020 

≤ 100 000 

It  should  be  noted  that  a  very  important  part  of  the  annual  results  and  evolution  of  this  indicator  depends  on  external  factors  (occurrence, 
frequency,  severity  and  location  of  disasters)  which  are  entirely  beyond  the  control  of  the  Commission.  The  specific  contribution  of  EU 
humanitarian aid to the evolution of this indicator is difficult to assess. 

Indicator 2: Number of countries ranked very high risk to disasters in the INFORM Index (Source: INFORM) 

The  Index  for  Risk  Management  -  INFORM  is  a  global,  open-source  risk  assessment  for  humanitarian  crises  and  disasters. 
INFORM is a collaboration of the Inter-Agency Standing Committee Task Team for Preparedness and Resilience and the European 
Commission, developed in a partnership of 23 international and civil society organisations and governments. INFORM consolidates  
information about risk  from  different  sources   into a risk  profile for every country, by  assessing  natural and human  hazards  and 
exposure, vulnerability and lack of coping capacity. INFORM categorises countries in  five risk clusters: very high, high, medium, 
low and no risk. More on: www.inform-index.org.501 

Baseline 
2013 

12 

2014 
≤ 11 

2015 
≤ 11 

Milestones foreseen 
2016 
≤ 14 

2017 
≤ 14 

Actual results 

2018 
≤ 13 

2019 
≤ 13 

Target 2020 

≤ 12 

13 
It should be noted that a very important part of the annual results and evolution of this indicator depends on external factors (occurrence, 
frequency, severity and location of disasters) which are entirely beyond the control of the Commission. The specific contribution of EU 
humanitarian aid to the evolution of this indicator is difficult to assess. 

13 

13 

11 

Specific objectives 

Specific  Objective  1: Provide  needs  based  delivery  of  EU  assistance  to  people  faced  with  natural  and  manmade  disasters  and 
protracted crises. 
Indicator 1: % of non-emergency agreements signed in maximum 11 working days 

Baseline 
2015 

77% 

2014 

2015 

Milestones foreseen 
2017 
2016 
≥ 95% 
≥ 95% 

Actual results 

2018 
≥ 95% 

2019 
≥ 95% 

This indicator evaluates procedures for non-emergency proposals. 

Indicator 2: Total number of beneficiaries of Commission's interventions  

77 % 

72 % 

72,8 % 

Baseline 
2013 
106 million beneficiaries for a 
budget of 1,277 billion => 
72,4 million when prorating to 
2014 HUMA budget of EUR 
872 million 

2014 

2015 

≥ 73 million  ≥ 73 million 

Milestones foreseen 
2016 
2017 
≥ 73 million 

2018 
≥ 73 million  ≥ 73 million  ≥ 73 million 

2019 

105 million 

110 million 

116,6 million 

129 million 

Actual results 

Target 2020 

≥ 95% 

Target 2020 

≥ 77 million 

Source: European Commission DG ECHO HOPE and EVA databases.  
Measured  by  the  total  number  of  humanitarian  aid  interventions  (estimated  by  the  number  of  'action  beneficiaries'  as  declared  by  the  partners 
implementing humanitarian projects funded by DG ECHO). 
This indicator is based on the aggregation of the estimated number of 'action beneficiaries' as declared by the partners implementing humanitarian 
projects funded. One single individual beneficiary in need of humanitarian assistance can thus benefit from more than one humanitarian action and 
from more than one project. DG ECHO is currently engaged in methodological work and improving data collection aiming at a better estimate of 
the number of people assisted by EU humanitarian aid in different crises. It should be noted in this context that since 2014 the EU has increasingly 
been funding operations where  multi-sector assistance is provided to beneficiaries (as opposed to a single action providing assistance only in a 
single  sector,  such  as  shelter,  or  food,  or protection), often  through  recourse  to  multi-purpose  cash  interventions.  These  are  becoming  a  major 

500 EM-DAT: The Emergency Events Database - Université catholique de Louvain (UCL) - CRED, D. Guha-Sapir - www.emdat.be, Brussels, Belgium 
501 In 2017 : Afghanistan, Central African Republic, Chad, Democratic Republic of Congo, Iraq, Niger, Somalia, South Sudan, Sudan, Syria, Yemen 

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delivery mode for the EU's humanitarian interventions, with their proportion in the EU's overall humanitarian aid programme steadily rising in 
recent years (to account for 35% of the total in 2017), where a single intervention thus replaces several sectorial interventions. This is the case, for 
example, for the Facility for Refugees in Turkey or large parts of the EU's assistance to refugees in other countries neighbouring Syria.  

Indicator 3: % of HA funds spent in "very high risk to disaster" countries (Source: INFORM) 

Baseline 
2013 

50 % 

2014 

2015 

Milestones foreseen 

2016 
≥ 53 % 

2017 

2018 
≥ 55 % 

2019 

Actual results 

Target 2020 

≥ 56 % 

51 % 

52,5 % 

53,37 % 

52,7 % 

Indicator 4: % of projects in the health, nutrition, food, shelter and WASH sectors using standard output indicators ('Key Result 
Indicators') 

Baseline 
2013 

N/A - new 

2014 

73 % 

2015 
90 % 

77 % 

Milestones foreseen 

2016 

2017 
90 % 

2018 
90 % 

Actual results 

62 % 

68% 

2019 

Target 2020 

90 % 

The Key Result Indicators502 (KRI) are standardized metrics based on international good practice in the respective sector, its use can be interpreted 
as a proxy indicator for quality as good project indicators are crucial for good project management, monitoring and reporting which ultimately has 
a  positive  effect  on  project  quality  as  a  whole.  The  KRI  system  was  revised  in  June  2016  in  order  to  address  a  number  of  shortcomings,  and 
simplify and increase the use of the standard indicators. Due to the transition from the old to the new system, KRI were used less than previously 
in 2016 and 2017. However, the new system has partially automatized the KRI system and thus ensures that these indicators are used for virtually 
all future humanitarian projects in key sectors of activity. 

Indicator 5: % of EU Humanitarian Aid initial budget for specific crises spent in forgotten crises 

Baseline 
2013 

15,6 % 

2014 

2015 

Milestones foreseen 

2016 
≥ 18 % 

2017 

2018 
≥ 15 % 

2019 

Actual results 

Target 2020 

≥ 15 % 

16,5 % 

16,7 % 

17,2 % 

15,8 % 

Source  –  'Forgotten  crises  countries  based  on  the  Commission's  Forgotten  Crisis  Assessment'  -  as  explained  and  described  in  the  yearly 
Operational Priorities document of DG ECHO.  

In  2017,  the  calculation  methodology  has  been  modified.  While  the  percentage  of  the  budget  allocated  to  forgotten  crises  was  previously 
calculated as a proportion of the HA initial budget including the operational reserves, it is now compared to the HA initial budget excluding the 
operation reserves. This amendment is necessary given that, throughout the year, based on needs assessments, the operational reserves can also be 
allocated to forgotten crises.  Therefore the old  method of calculation could potentially underestimate the percentage of the  budget allocated to 
forgotten  crises.  The  baseline  and  the  actual  results  pre-2017  have  been  recalculated  according  to  the  new  methodology.  The  milestones  and 
targets have also been corrected and updated: the objective for the Commission is to provide a minimum of 15% of its initial  humanitarian aid 
budget to forgotten crises. 

Expenditure related outputs 

Outputs 

HA funds for specific crisis in most vulnerable countries 
HA funds for forgotten crises  
HA funds for other crises 
Total 

Outputs 

Budget line 

23 02 01 
23 02 01 
23 02 01 

Draft Budget 2019 
EUR million 
903 
164 
575 
1 642 

HA  funds  for  specific  crisis  in  most  vulnerable 
countries 
HA funds for forgotten crises (initial HA budget 
– EUR million excluding reserve 20%) 
*  The results produced are higher than the foreseen, because of several reinforcements  made through the Emergency  Aid Reserve and internal 
transfers (Global Transfer and Art. 26.2).  

≥ 141 

≥ 149 

F 
P 
F 
P 

Funds foreseen (F) and funds allocated (P) 
2017 
≥476 
752 
≥ 129 
148 

2016 
≥467 
867,5 
≥ 128 
116 

2018 
≥501 

≥ 138 

2015 
≥450 
769 
≥ 106 
118 

2019 
≥511 

2020 
≥522 

2014 
≥ 481 
511 
≥ 129 
127 

Specific Objective 2: Build the capacity and resilience of vulnerable or disaster affected communities. 
Indicator 1: Number of 'action beneficiaries' benefiting from DIPECHO actions in disaster prone regions (Source: Hope database) 

Baseline 
2013 

18 million action 
beneficiaries 

2014 
≥18 million 

2015 
≥18 million 

2016 
≥18 million 

2017 

2018 
≥18 million  ≥18 million   ≥18 million 

2019 

Milestones foreseen 

16 million 

24 million 

24 million 

20 million 

Actual results 

502 List of KRIs available at https://myintracomm.ec.europa.eu/echo/partners/fpa/Documents/EN.pdf 

Target 2020 

≥19 million 

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Indicator 2: No of vulnerable countries with country resilience priorities in place (Source: EU Del, MIPs, CSPs) 

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Baseline 
2013 

2016 
10 
Actual results 
11 
Indicator 3: % of actions 'on track' of Resilience Action Plan. (Source: Transition Interservice Working Group on Resilience) 

2014 
3 

N/A New 

2018 

2017 

2015 

2019 

17 

20 

9 

7 

Target 2020 

Milestones foreseen 

Baseline 
2013 

N/A New 

Milestones foreseen 

2014 
70 % 

80 % 

2015 

2016 
80 % 

Actual results 

2017 

2018 

2019 

85 % 

85 % 

85% 

Target 2020 

90 % 

Indicator  4: %  of  ECHO  funded  operations  in  which  Disaster  Risk  Reduction  has  been  mainstreamed  (Source:  ECHO  DRR 
metrics – E-single form) 
Baseline 
2013 

Milestones foreseen 

Target 2020 

2014 
≥ 45 % 

2015 
≥ 45 % 

2016 
≥ 45 % 

2017 
≥ 45 % 

2018 
≥ 45 % 

2019 
≥ 45 % 

40 % 

Actual results 

            ≥ 50 % 

49 % 

43 % 

57 % 

65 % 

Expenditure related outputs 

Operational budget having a DRR component (DIPECHO + DRR mainstreamed in HA operations)  23 02 02 and 23 02 01 (part) 

Outputs 

Budget line 

DB 2019 
EUR million 
145 

Outputs 

2014 

Number of outputs foreseen (F) and produced (P) 
2015 

2017 

2016 

2018 

2019 

2020 

Operational funds including a DRR 
component (in EUR million)* 
Total produced 
* Objectives have been set at 15% of initial HA funding 

P 

F 

n/a new 

≥ 137 

≥ 138 

≥ 140 

≥ 142 

≥ 145 

≥ 146 

122 

142 

175 

96 

5. Programme contribution to the Sustainable Development Goals 

Humanitarian  aid  aims  to  save  and  preserve  lives  and  alleviate  suffering.  By  catering  for  the  needs  of  the  most  vulnerable, 
humanitarian aid also indirectly contributes to  several SDGs, and to  meeting the  wider SDG pledge of "leaving  no one  behind". 
Specifically,  the  Humanitarian  Aid  programme  indirectly  contributes  towards  the  achievement  of  the  following  Sustainable 
Development Goals. 

SDG 1 – End poverty in all its forms everywhere. The provision of humanitarian aid to the most vulnerable, sometimes in the form 
of  cash  transfers  for  their  basic  needs,  contributes  to  paving  the  way  for  national  social  safety  nets  and  more  structural  poverty 
reduction national programmes. 

SDG  2  -  End  hunger,  achieve  food  security  and  improved  nutrition  and  promote  sustainable  agriculture.  The  Humanitarian  Aid 
programme  will continue to provide life-saving food assistance to those facing  food insecurity in humanitarian crises around the 
world, as well as preventing and reducing under-nutrition.  

SDG  3  -  Ensure  healthy  lives  and  promote  well-being  for  all  at  all  age.  The  Humanitarian  Aid  programme  provides  emergency 
health support to those in need during both natural and man-made humanitarian crises. The programme also supports  emergency 
health response such as against epidemics. In protracted situations, humanitarian funding for health actions helps pave the way for 
more structural actions from development instruments and the strengthening of national capacities. 

SDG 4 - Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all 

Providing safe and quality education to the most vulnerable children affected by emergencies is a priority of the programme,  with 
funding for Education in Emergencies increasing yearly since 2012. At the same time, the EU is a strong advocate for Education in 
Emergencies on the international stage. 

SDG 5 - Achieve gender equality and empower all women and girls. The Commission ensures that gender and age considerations 
are taken into account in all its humanitarian aid operations. To ensure an effective, quality response, humanitarian action  should 
cater  for  the  differentiated  needs  and  capacities  of  women,  girls,  men  and  boys;  and  should  contribute  to  the  equality  and 
empowerment  of  women  and  girls  by  promoting  their  adequate  participation  in  the  humanitarian  response.  Supporting  the 
prevention and response to gender-based violence is considered as a life-saving humanitarian intervention and a priority. 

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SDG  6  -  Ensure  availability  and  sustainable  management  of  water  and  sanitation  for  all.  The  EU provides  water,  sanitation  and 
hygiene (WASH) support through its humanitarian aid operations to those in need during humanitarian crises and ensure that the 
most vulnerable have access to WASH. 

SDG  13  -  Take  urgent  action  to  combat  climate  change  and  its  impacts.  Through  the  Disaster  Risk  Reduction  and  Resilience 
actions,  the  EU supports local communities to be  more  resilient to shocks including those resulting from climate  (such as the El 
Niño phenomenon), and to be better prepared in advance.  

6. Information about financial instrument(s) and trust fund(s) financed by the Programme 

The EU Emergency Trust Fund for Africa assists a band of countries across Africa which are among the most fragile and affected 
by migration and draw the greatest benefit from this form of EU financial assistance. The contribution for 2018 amounts to EUR 10 
million.  

EUR 165 million and  EUR 145 million committed in 2016 and 2017, respectively, under voted budget appropriations under budget 
line 23.0201 (including EUR 35 million in 2015 frontloaded EU budget commitments). 

7. Programme related additional information 

Contribution to the Facility for Refugees in Turkey: 
An extension ('second tranche') of the Facility for Refugees in Turkey by an additional EUR 3 billion503, of which EUR 2 billion 
from the EU budget, has now been agreed. Out of the EU budget contribution, it is proposed that HUMA will contribute EUR 600 
million in 2019, of which EUR 50 million by reprogramming within the existing HUMA envelope (whereas IPA will contribute 
EUR  850  million).  This  comes  in  addition  to  the  EUR 50 million  HUMA  contribution  in  2018  by  reprogramming  within  the 
existing  HUMA  envelope  (and  the  proposed  EUR  500  million  EU  budget  contribution  under  IPA  in  Draft  Amending  Budget 
N°3/2018504). 

503 
504  

C(2018) [1500 final, 14.3.2018]. 
COM(2018) 310, 23.5.2018. 

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HEADING 4: Global Europe 

Common foreign and security policy (CFSP) 
Lead DG: FPI 

I. Programme Overview 

What the programme is about? 

The  European  Union’s  Common  Foreign  and  Security  Policy  (CFSP)  operations  contribute  to  the  preservation  of  peace,  the 
prevention of conflicts and strengthening international security. In doing CFSP helps to safeguard the Union’s values, fundamental 
interests,  security,  independence  and  integrity  as  well  as  helping  to  support  and  consolidate  democracy,  the  rule  of  law,  human 
rights and the application of principles of international law worldwide.  

EU budgetary funds are focused on three types of actions: 
  The  conduct  of  civilian  CSDP  Missions  to  promote  stability  and  build  resilience  by  strengthening  the  rule  of  law  on  the 

strategic and operational levels in fragile environments. 

  The work of the European Union’s Special Representatives (EUSRs) who promote the EU’s policies and interests in troubled 

regions and countries and play an active role in efforts to consolidate peace, and to promote stability and the rule of law. 

  Projects to combat the proliferation of weapons of mass destruction (including their delivery mechanisms) and to combat the 

illicit spread and trafficking of other conventional weapons, particularly through supporting multilateral activities.. 

In addition, via its CFSP operations the EU provides funding for the European Security and Defence College (ESDC) and for the 
operation of the Kosovo505 Specialist Chambers. The CFSP can also be used to fund other operations on the basis of Art. 28 TEU. 

For the CFSP to be effective, the EU needs to be ready to react, rapidly and with determination, to respond to new emerging threats 
to its strategic interests. As such, many CFSP actions cannot be programmed in advance and the CFSP budget needs to include a 
sufficient  margin  each  year  so  that  crisis  situations  and  opportunities  for  action  can  be  rapidly  acted  upon.  When  implemented, 
CFSP actions need to be sufficiently flexible so that responses can be tailored at a moment’s notice to evolving situations. CFSP 
actions are  thus implemented  often  at  short  notice,  for short time periods and then adapted, re-sized, prolonged or terminated in 
accordance with the changing needs and priorities. 

EU added value of the programme 

The Treaty on the European Union (article 21) has defined common overarching principles and objectives for the external action of 
the Union, in particular to "preserve peace, prevent conflicts and strengthen international security". 

While  the  individual  activities  of  Member  States  clearly  contribute  to  achieving  the  goals  of  the  EU’s  Common  Foreign  and 
Security Policy (CFSP) the EU's joint CFSP approach provides a critical mass to respond to global challenges. It provides for joint 
ownership on the EU side and a strong political signal to partner countries as a sound EU mechanism in support of their security 
and stability needs.   

Given the EU's impartial position to deliver external action on behalf of and with Member States, CFSP operations enjoy enhanced 
credibility and trust in the countries they operate.   

Regarding  non-proliferation  and  disarmament  (NPD)  the  EU's  support  provides  clear  added  value  for  the  universalisation  and 
effective  implementation  of  international  treaties,  conventions  and  agreements  combatting  the  proliferation  of  both  Weapons  of 
Mass Destruction and their delivery mechanisms, the illicit accumulation and trafficking of small arms and light weapons and the 
implementation of effective controls on international arms transfers, thereby contributing to peace, security and stability worldwide 
and to the safety of European citizens. 

II. Programme Update 

Implementation status (2014-2017) 

Fourteen different civilian CSDP Missions have operated at different stages between 2014-2017 two of which were closed in 2014 
(EU  Aviation  Security  Mission  in  South  Sudan  and  EU  Police  Mission  in  the  Democratic  Republic  of  Congo).  Nine  Missions 
operated  throughout  the  period:  EU  Monitoring  Mission  in  Georgia  (EUMM  Georgia);  EU  Rule  of  Law  Mission  in  Kosovo 
(EULEX Kosovo); EU Advisory Mission for Civilian Security Sector Reform in Ukraine (EUAM Ukraine); EU Capacity Building 
Mission  in  Mali  (EUCAP  Sahel  Mali);  EU  Capacity  Building  Mission  in  Niger  (EUCAP  Sahel  Niger);  EU  Integrated  Border 
Management Assistance Mission in Libya (EUBAM Libya); EU Capacity Building Mission in Somalia (EUCAP Somalia506); EU 
Co-ordinating Office for Palestinian Police Support (EUPOL COPPS); EU Border Assistance Mission at the Rafah Crossing Point 
(EUBAM  Rafah). The EU Mission to provide Advice  and Assistance  for Security  Sector Reform in the Democratic  Republic of 
Congo (EUSEC RD Congo) completed its liquidation in 2016 and the EU Police Mission in Afghanistan (EUPOL Afghanistan) in 
2017  following  the  end  of  their  respective  operational  mandates.  In  2017,  the  new  EU  Advisory  Mission  in  support  of  Security 

505 The use of the designation “Kosovo” is without prejudice to positions on status, and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo 
declaration of independence. 
506 Previously known as the EU Mission on Regional Maritime Capacity Building in the Horn of Africa, EUCAP Nestor. 

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Sector  Reform  in  Iraq  (EUAM  Iraq)  was  established.  From  2016  funding  has  also  been  provided  for  the  Kosovo  Specialist 
Chambers (KSC) and from 2017 support allocated in accordance with Article 28 TEU to a team of experts for stabilisation in the 
Malian regions of Mopti and Ségou. 

European Union Special Representatives (EUSRs) also play an important role in the development of a stronger and more effective 
CFSP. There were in total 11 EUSRs active over the period 2014-2017, two of which finished their activities in 2014 (EUSRs for 
the African Union and for the Southern Mediterranean region). Seven of the other nine EUSRs were active throughout the period 
(for Afghanistan, South Caucasus and the crisis in Georgia, the Sahel, Bosnia and Herzegovina, Kosovo, the Horn of Africa and for 
Human Rights). The EUSR for Central Asia had a 10-month gap in operation over 2014 and 2015 and the EUSR for the Middle 
East Peace Process restarted operation from May 2015 having ceased from end of 2013. 

In  addition  to  the  civilian  CSDP  missions  and  the  EUSRs,  the  CFSP  also  supports  projects  to  promote  disarmament,  non-
proliferation and arms export control (NPD projects) as well as horizontal measures contributing to security and peace.  During the 
period 2014-2017, 29 different projects to promote the non-proliferation and disarmament have been started and another 22, which 
started prior to 2014, were completed. 

In 2017, significant needs and opportunities for EU intervention to increase peace, security and stability in the world, resulted in 
total  commitments  for  CFSP  actions  actually  exceeding  the  2017  budget  initially  of  EUR  327  million  in  commitment 
appropriations by EUR 12.5 million. EUR 85 million was transferred to the Facility for Syrian Refugees in Turkey and a careful 
active management of the CFSP budget allowed the timely recovery of EUR 23 million of unspent funds. The CFSP budget was 
then  replenished  by  EUR  44.5  million  with  unspent  funds  from  other  budget  lines  and  from  the  Emergency  Aid  Reserve.  The 
situation was in contrast to some previous years where limited opportunities for effective actions resulted in net transfers out of the 
CFSP budget. 

Key achievements 

Given  the  crisis  situations  in  which  CFSP  actions  are  typically  undertaken,  a  key  requirement  underpinning  their  success  is  the 
rapidity  with  which  they  are  launched  and  with  which  the  necessary  financial,  managerial,  logistical  and  human  resources  are 
provided. Throughout the period, FPI ensured that Financing Decisions were signed soon after the adoption of the relevant Council 
Decision. In 2016-2017, FPI and the European External Action Service (EEAS) established a Mission Support  Platform providing 
common services to civilian CSDP Missions in response to increased logistical and operational support needs. 

EUCAP Sahel Niger and EUCAP Sahel Mali 
The two civilian CSDP Missions in Sahel bring an important contribution to the security of the region. EUCAP Sahel Niger has 
supported the authorities to strengthen their strategic planning of security. At the end of September 2017, a “National Strategy for 
Internal Security” was approved by the Council of Ministers together with an action plan for its implementation. In parallel, nearly 
3,500 personnel from the various internal security forces (ISF) have been trained in the fight against terrorism and organised crime. 
The  capacity  of  the  local  authorities  to  combat  irregular  migration  –  which  often  involves  smugglers  –  was  increased  with  the 
adoption of a  "National Strategy against Irregular Migration". At the beginning of 2017, EUCAP Sahel Niger opened a regional 
field  office  in  Agadez  to  strengthen  local  capacity  in  the  fight  against  irregular  migration.    In  addition  to  the  general  training 
provided to ISF personnel by EUCAP Sahel Mali, specialised training has helped to improve relationships between the ISF and the 
civilian  population  through  the  implementation  of  community  policing  schemes.  Efficiency  at  border  posts  has  been  improved 
through  the  provision  of  equipment  and  the  preparation  of  a  good  practice  handbook  and  a  model  of  a  security  post  has  been 
developed. Counter-terrorist investigations have also been improved through the set-up of specialised units.   

Examples of EUCAP Sahel Niger’s contributions in 2017 include: 
  Assistance with the operationalization of a Central Agency for the Management of seizures, confiscations, freezing and 

recovery of criminal assets. 

  Updating of Penal Code and the Code of Criminal procedure initiated. 
 
  Advice on the issuance of a decree on the establishment, composition and functioning of a national committee to co-ordinate 

Initiation of a law establishing the organisation and jurisdiction of the courts in the Republic of Niger. 

the fight against terrorism, the financing of terrorism and violent extremism and transnational organised crime. 

  Assistance provided on the National Strategy for Internal Security (adopted by Presidential decree). 
  Assistance with the drafting of the National Strategy against Irregular Migration together with the associated Action Plan. 
 

198 training events delivered for over 3,400 participants. 

Examples of EUCAP Sahel Mali’s contributions in 2017 include: 
  Supported preparation of 2 pieces of legislation that have been adopted (on the specialised intervention brigade and on 

specialised anti-terrorist forces) and on another 3 that await adoption (on a crisis management centre, intelligence analysis and 
the border protection directorate). 

  Training documents developed. 
  All police and National Guard personnel registered in a database for human resources management. 
 
 
  Review and support for implementation provided for of Security Programming Law (2017-2020). 
  Assistance for revision of law on human trafficking and migrant smuggling. 

81 training events held for over 1,600 participants. 
3 legal drafting workshops held for 19 participants from across the public administration. 

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  Advice provided on National Border Policy and Action Plan (both of which validated) and contribution provided to drafting of 

the Border Security Strategy. 

  Advice provided (and accepted) on national plan to fight terrorism and violent extremism. 

EUBAM Libya 
Improved stability in 2017 has permitted a small redeployment of EUBAM Libya, starting with a ‘light’ presence in Tripoli as  of 
December 2017. Assessments of border management, law enforcement and criminal justice training and development needs are in 
progress  and  the  Mission  is  contributing  to  the  co-ordination  of  international  support,  which  has  included  helping  partners  with 
piloting a model police station. The Government of National Accord indicated its willingness to reform Libya’s border and security 
management, which would help the country to secure its borders and to fight against organised crime. To that end, EUBAM Libya 
supported the drafting of a “Concept Note towards a White Paper” on reforming Libya’s border management approach, which is 
designed  to  pave  the  way  for  a  national  strategy  that  will  also  address  the  development  of  effective  operational  capacity  in  the 
South.  Progress  is  also  being  made  regarding  potential  institutional  and  legislative  reforms  to  establish  an  integrated  border 
management system, the identification of priorities for the development of the coastal police as well as training priorities. Model 
training  courses  have  been  developed  and  shared  with  potential  donors  to  increase  the  support  provision.  Issues  on  the  southern 
Libya-Niger border are being assessed in co-operation with EUCAP Sahel Niger and EUCAP Sahel Mali and continued planning 
and confidence building measures are in progress.   

Institutional reform concept on Integrated Border Management. 

Examples of EUBAM Libya’s contributions in 2017 include: 
 
  Strategic action plan for pilot model police station in Tripoli 
  Supported  4  training  events  (97  participants)  on  criminal  analysis,  leadership,  management  and  international  human  rights 
standards  (including  1st  training  for  20  Judicial  Police  Officers  on  the  United  Nations  Standard  Minimum Rules for  the 
Treatment of Prisoners). 

  Hosted/co-chaired 10 sessions of Integrated Border Management working group addressing strategy definition. 
  Criminal  Investigation  Roundtables  organised  with  Libyan  internal  security  institutions,  NGOs  and  international  community 

(topics including organised crime, smuggling and trafficking). 

  Mapping Report of Libya’s Border Management Law Enforcement and Criminal Justice Systems. 

EUCAP Somalia 
EUCAP  Somalia  is  working  with  federal  and  regional  authorities  to  enhance  the  capacity  to  effectively  govern  the  coastline, 
internal waters, territorial seas and the exclusive economic zone. Considerable efforts have been made to support the authorities in 
the planning and the organisation of different maritime law enforcement functions. Implementation of the London Security Pact of 
May  2017  (an  important  political  agreement  between  the  Federal  Government  of  Somalia  and  the  Federal  Member  States  on  a 
national security model and architecture for Somali forces) should allow for the finalisation and adoption of legislation, plans and 
assessments  drafted  with  EUCAP  Somalia  support  and  facilitate  further  capacity  building  development.  EUCAP  Somalia  also 
provides practical support to aid the development of Somali capacity for such tasks as fisheries inspections/enforcement, search and 
rescue,  combatting  piracy  and  smuggling.  Somaliland  coastguards  have,  for  instance,  been  trained  on  such  topics  as  “Maritime 
English” (required for communication with international shipping) and the crucial abilities of first-aid and firefighting. In Puntland 
a joint maritime information and co-ordination centre is being developed, which when operational will improve maritime security 
and safety. EUCAP Somalia  has also  supported "train-the-trainer" courses to implement a  unified  national curriculum  for police 
recruits.   

Examples of EUCAP Somalia’s contributions in 2017 include: 
  Assistance  provided  with  the  preparation  or  assessment  of  9  legal  instruments  (laws,  regulations,  decisions,  etc.)  including: 
draft law on the Somali  federal Coastguard, draft  model legislation on  maritime police  units, draft  Somali penal code, 2012 
Anti-Piracy law, fisheries legislation, legislation on organised crime. 

  Assistance  with advice  on / preparation of 10 strategies, Action Plans, Guidelines, Procedures, etc. including: Security Pact, 
draft  national  Maritime  Security  Plan,  draft  National  Maritime  Threat  Assessment,  draft  maritime  Operational  Readiness 
Assessment,  draft  maritime  security  forces  options  non-paper,  draft  Somali  Coastguard  Action  Plan,  Puntland  State  Police 
Plan. 
25 training events held for 386 Maritime Law Enforcement (MLE) personnel. 

 

EUPOL COPPS and EUBAM Rafah 
The  EU  Co-ordinating  Office  for  Palestinian  Police  Support  (EUPOL  COPPS)  continued  to  support  the  establishment,  under 
Palestinian  ownership,  of  an  effective  and  sustainable  policing  and  wider  criminal  justice  arrangements  in  accordance  with  best 
international  standards.  In  2017  considerable  work  and  effort  by  the  civilian  CSDP  Mission  came  to  fruition  with  the  official 
adoption by Presidential Decree of the Palestinian Police Law and other legislation prepared with the assistance of EUPOL COPPS 
was  adopted  including  the  ‘Law  on  Cybercrime’  and  the  ‘Law  on  the  Serious  Crime  Court’.  The  Mission  also  assisted  the 
preparation of standard operating procedures / handbooks on such important topics as the use of firearms, IT forensic processes, use 
of force, information and assistance to families of road traffic accident victims, information led policing, legislative drafting and 
public  consultation,  ethics  and  rules  of  conduct.  A  Manual  on  Human  Rights  was  additionally  co-produced  for  Palestinian  High 
Judicial Council. To contribute to ensuring the security needs of the whole of society and counter discrimination, in co-operation 
with  UN  Women,  the  Mission  supported  the  development  of  the  Palestinian  Civil  Police  Gender  Strategy.  The  EU  Border 
Assistance  Mission  for  the  Rafah  Crossing  Point  continued  its  important  contribution  to  the  Middle-East  Peace  Process  through 

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building the capacity of the Palestinian Authority’s General Authority for Borders and Crossings and, in particular, enhancing the 
Palestinian Authority’s readiness to return to and manage the Rafah crossing point when conditions allow. In doing so the Mission 
provided  assistance  on  the  preparation  of  strategies,  action  plans  (including  implementing  an  integrated  border  management 
strategy)  and  manuals  (e.g.  on  tackling  border  threats  and  setting-up  information  exchange)  as  well  as  training  personnel  and 
supporting training facility refurbishment. 

Implementation of Palestinian Civil Police (PCP) Community Policing concept. 

Examples of EUPOL COPPS’ contributions in 2017 include: 
 
  Manual on Human Rights co-produced for Palestinian High Judicial Council. 
  Assistance provided for preparation of 8 laws/by-laws (on topics such as accreditation of forensic experts, serious crime court, 

cybercrime international judicial co-operation, forensic medicine, data processing, and on the Police).   

  Assistance provided for 5 strategic issues (Ministry of Interior Security Sector Strategy, PCP Strategic Plan, PCP strategy to 
reduce road traffic accidents (RTAs), PCP strategy for the resource management system, strategic planning within correction 
and rehabilitation centre department). 

  Assistance provided with 7 standard operating procedures / handbooks (on use of firearms, IT forensic processes, use of force, 
information and assistance to families of RTA victims, information led policing, legislative drafting and public consultation, 
draft code of ethics and general rules of conduct). 

  Assistance provided with the development / revision of 6 other documents (disciplinary system and penalties for the PCP, roles 
and mandates of PCP accountability units, PCP complaint management system, justice sector strategy 2017-2022, policy for 
the Palestinian Judicial institute, process of legislative planning in the Ministry of Justice). 
25 training events for 916 participants. 

 

EULEX Kosovo 
By strengthening the rule of law, justice and customs, EULEX Kosovo has contributed to stability in the Western Balkans. EULEX 
police,  prosecutors  and  judges  have  dealt  with  cases  in  especially  challenging  fields  such  as  corruption,  organised  crime,  war 
crimes and human trafficking, while also monitoring over 290 criminal cases which had been transferred to local authorities by the 
Mission. Through EULEX implementation of EU-facilitated Dialogue Agreements, the Mission has ensured the integration of 40 
Kosovo Serb judges, 14 prosecutors as  well as support staff in the Kosovo judicial system, thus significantly contributing to the 
Rule of Law in Kosovo. EULEX has also identified missing persons and facilitated the return of their remains to their families. So 
that criminal proceedings can be conducted in respect of particular crimes against humanity allegedly committed during and after 
the conflict in Kosovo, with part funding from the CFSP, the Kosovo Specialist Chambers has been established with a seat in the 
Netherlands.   

Examples of EULEX Kosovo’s contributions in 2017 include: 
 

 

Improved  interoperability  achieved  between  Kosovo  Police  and  Prosecution  leading  to  improved  case  management  and 
expeditious investigations. 
7  training  events  /  4  study  trips  organised  (e.g.  on  ant-corruption,  civil  registry,  investigation  of  organised  crime  in  social 
media, etc.), 170 participants (⅓ female) 
Implementation and opening of civil status and civil registry offices in 4 northern municipalities. 

 
  Construction started of Merdare crossing point. 
 
Integrated Border Management Action Plan.  
 
27 co-operation agreements adopted in relation to border policing. 
  Strategy on Protection from Domestic Violence and Action Plan for 2016-2020. 
  Strategy for the execution of penal sanctions for 2016-2020. 
 
Inauguration of Educational-Correctional Centre in Lipljan. 
  Kosovo Police Strategic Development Plan 2016-2020. 
 

Integration of Kosovo Serb judges, prosecutors and support staff in Kosovo judicial system. 

EUMM Georgia continues to contribute to stability in the Caucasus through its night and day monitoring activities, particularly 
close  to  the  administrative  boundary  lines  with  Abkhazia  and  South  Ossetia,  its  operation  of  a  telephone  hotline,  encouraging 
information  sharing  and  timely  analysis/reporting.  EUMM  Georgia  also  facilitates  the  lives  of  the  peoples  affected  by 
‘borderisation’– facilitating the release of detainees, allowing the transportation of medical cases, assisting farmers to access their 
land  (including  by  facilitating  clearing  land  of  the  explosive  remnants  of  war).  In  2017  EUMM  Georgia  conducted  over  4  800 
monitoring patrols. 

EUAM Ukraine is working with organisations of the civilian security sector to identify, plan and implement reform, restructuring 
and reorganisation so as increase public confidence and trust in their legitimacy and thereby to strengthen the rule of law in full 
respect of human rights. In doing so it has assisted the preparation and adoption of development strategy for the Ministry of Internal 
Affairs and its related agencies as well as a community safety strategy for the Kharkiv region, which will serve as a model for other 
regions. With the assistance of the Mission, a draft law on national security has also been prepared, which should both strengthen 
oversight over security sector organisations and clarify their respective competencies.   
Examples of EUAM Ukraine’s contributions in 2017 include: 

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 

  Assistance provided with 22 legislative acts (laws, regulations, decisions etc.) of which 2 have been adopted (“Amendments to 
the  Criminal  Procedure  Code”  and  the  law  “on  the  High  Council  of  Justice”)  and  20  drafted  (on  topics  such  as  national 
security, pre-trial detention, administrative offences, harmonisation with European standards). 
13 strategies, action plans, guidelines, procedures with which the Mission assisted have been implemented (on topics such as 
the  development of  the Ministry of Internal  Affairs, the  methodology for threat assessments of  serious and organised crime, 
public order, community safety, road traffic safety, human resources management, court security, etc.) and assistance has been 
provided  with  the  drafting  of  another  3  (action  plan  for  the  MoIA  strategy  implementation  witness  protection  programme 
concept, NPU development strategy to 2020). 
  Over 200 training events for over 4,200 participants. 

European Union Special Representatives 
Many of the tangible achievements realised through the CFSP (and other EU external actions) would not be possible without the 
political  and  diplomatic  encouragement  and  facilitation  efforts  of  the  EUSRs.  The  EUSR  for  the  Sahel  plays  an  important  role 
facilitating  the  peace  process,  for  instance  through  support  for  the  adoption  of  a  UN  Security  Council  resolution  (UNSCR)  on 
sanctions,  maintaining  pressure  on  stakeholders  to  implement  the  peace  process.  The  EUSR  has  also  been  instrumental  in  co-
ordinating international support for the G5 Joint Force to tackle terrorist threats and transnational organised crime (with the EU role 
recognised in UNSCR 2391). A decrease in migrants transiting via Agadez, Niger is in part thanks to support from projects funded 
from the EU Emergency Trust Fund, and also due to the intervention made by EUCAP Niger's Agadez office. 

In the Western Balkans the EUSR for Kosovo communicates the EU’s advocacy for the protection and promotion of the rights of 
all minority communities, encouraging reintegration in community and public life. The EUSR for Bosnia and Herzegovina (BiH) 
provides continued support for the country's Reform Agenda and for free and fair elections (for instance in Stolac in 2017).  Efforts 
also  facilitated  improved  border  management  and  controls  through  the  adoption  of  a  Strategy  and  Framework  Action  Plan  for 
integrated  border  management  and  improved  co-operation  between  Western  Balkans  border  police  forces  (aiding  the  prevention 
and  detection  of  cross-border  crime  including  people  and  drug  smuggling)  as  well  as  combatting  discrimination  and  exclusion 
through communication efforts.   

The EUSR for the Middle-East Peace Process promotes dialogue, the exchange of information and consensus building, reiterating 
EU support for a negotiated two-state solution. The EUSR's also contributes to efforts securing peace and security and improving 
living conditions through co-ordination with other involved parties, as in relation to the return of the PA to Gaza. The EUSR for the 
South Caucasus and the crisis in  Georgia contributes to  more co-operative approaches to conflict resolution  while the  EUSR  for 
Central  Asia  promotes  good  co-operation  with  the  EU  on  a  wide  range  of  different  shared  interests.  Underpinning  all  of  these 
actions the EUSR for human rights enhances worldwide visibility of the importance to the EU of the protection of human rights.   

Non-proliferation and disarmament projects 
Throughout  the  period  the  EU  has  demonstrated  its  active  support  for  and  commitment  to  effective  multilateralism.  Through  its 
support for United Nations organisations, the International Atomic Energy Agency (IAEA), the Organisation for the Prohibition of 
Chemical  Weapons,  the  Preparatory  Commission  of  the  Comprehensive  Nuclear-Test-Ban  Treaty  Organisation  and  other 
international bodies, the EU contributes to international and regional safety and security. During the period 2014 to end 2017: 5 
countries  have  ratified  the  Comprehensive  Nuclear  Test  Ban  Treaty  (bringing  the  total  to  166);  23  countries  have  submitted 
National Implementation Action Plans for the United Nations Security Council’s Resolution 1540, which obliges States, to refrain 
from supporting by any means non-State actors from developing, acquiring, manufacturing, possessing, transporting, transferring or 
using  nuclear,  chemical  or  biological  weapons  and  their  delivery  systems  (bringing  the  total  to  31);  and  85  State  parties  have 
ratified507 the Arms Trade Treaty (bringing the total to 94). In addition, over the period the IAEA has provided support for nuclear 
safety  and  security  to  between  100  and  120  countries  per  year;  universalization  of  the  Convention  on  the  Prohibition  of  the 
Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction (CWC) also became one step closer 
with  the  accession  of  another  country  (raising  the  total  number  of  State  Parties  to  the  convention  to  192);  11  countries  have 
deposited  documents  of  ratification  or  accession  (or  in  the  case  of  two  countries  succession,  indicating  that  the  convention 
continued  in  force  from  independence)  to  the  Biological  and  Toxin  Weapons  Convention  (BTWC);  the  number  of  states 
subscribing to the Hague Code of Conduct against Ballistic Missile Proliferation (HCoC) increased to 139 with India subscribing in 
2016 (as well as becoming a member of the Missile Technology Control Regime – taking the total to 35) and Lesotho at the start of 
2018. In 2017, India also became a participating state for the Wassenaar Arrangement (taking the total to 42). 

Evaluations/studies conducted 

Given  the  specific  nature  of  CFSP  actions,  which  are  a  response  to  evolving  crises,  the  approach  adopted  in  the  past  to  the 
evaluation  of  these  actions  is  also  specific  so  that  the  key  stakeholders,  Members  States,  EEAS  and  FPI  may  utilise  results  and 
lessons  learned  in  the  initiation  and  adaptation  of  actions  to  protect  the  EU’s  strategic  interests.  The  actions  are  subject  to  an 
evaluation process, by the Council and its preparatory bodies, as well as to monitoring and auditing by the FPI. 
An  Annual  Report  on  these  lessons  learned508  is  compiled  by  the  Lessons  Working  Group  which  gathers  representatives  of  the 
CMPD,  CPCC,  EUMS,  geographical  desks,  DG  DEVCO,  DG  NEAR,  ECHO  and  the  FPI. These  Annual  Reports  are  used  both 
when  planning  new  Missions  and  when  undertaking  Strategic  Reviews  of  on-going  Missions.  These  reviews  include  in-depth 

507 or accepted, approved or acceded to the treaty. 
508 See for instance http://data.consilium.europa.eu/doc/document/ST-6777-2015-INIT/en/pdf and http://data.consilium.europa.eu/doc/document/ST-9159-2017-
INIT/en/pdf 

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analysis of achievements and efficiency of the Missions and results are used to guide the adaptation of the Operational Plans for the 
Missions. For instance, the Interim Strategic Review of EUCAP Sahel Niger led to the opening of a local antenna of the Mission in 
the Agadez region, a major hub for would-be immigrants to Europe from western Africa.  

A comprehensive "Study of the EUSR System" was produced in September 2015 by a consultant commissioned under the aegis of 
the FPI/EEAS steering committee. The study identified important added value through high-level political engagement and focus, 
the  ability  to  focus  on  regional  crises  or  thematic  issues  and  responsiveness  to  dynamic  environments.  Following  this  external 
evaluation, in October 2015 the HR/VP recommended to PSC that, in order to increase clarity, ensure continuity and consolidate 
the EU’s engagement, Council extend and align the expiry dates of EUSR mandates, which Council implemented through a number 
of  Decisions.  EEAS  also  presented  PSC  with  a  “food  for  thought  paper”  highlighting  horizontal  issues  of  the  functioning  and 
management of EUSRs, which continue to be taken into consideration by the Council. 

The evaluation of the non-proliferation and disarmament projects takes place within the competent Council bodies, with the final 
Impact  Assessments  provided  at  the  end  of  each  project  discussed  in  the  competent  Council  preparatory  groups  (COARM, 
CONOP) and annual progress reports are presented to Council on the implementation of the strategies against the proliferation of 
weapons  of  mass  destruction  and  to  combat  the  illicit  accumulation  and  trafficking  of  small  arms  and  light  weapons  and  their 
ammunition509.  In  addition,  FPI  and  EEAS  receive  quarterly  reports  on  implementation  and  spending  from  the  implementing 
agency (e.g. IAEA, UN or Member State agency) and regular audits similar to those for civilian CSDP Missions are conducted.  

The European Court of Auditors produced two Special Reports relevant to CFSP actions: Special Report n°18/2012 on "European 
Union assistance to Kosovo related to the rule of law"510, which included findings relevant to EULEX Kosovo for the period 2007-
2011and Special Report n°7/2015 on EUPOL Afghanistan from  the Mission's start in 2007 until end 2014511. In its report on EU 
assistance to Kosovo, the Court of Auditors in particular recommended that EULEX Kosovo be given legal personality, an issue 
that  the  Commission  had  also  raised  in  respect  of  civilian  CSDP  Missions.  In  its  report  on  EUPOL  Afghanistan,  the  Court  of 
Auditors recommended that centralised support functions be developed to assist Missions including in relation to the phasing out of 
Missions. In response, in 2016 EEAS and the Commission established a centralised Mission Support Platform to provide common 
services to Missions. 

The  European  Court  of  Auditors'  preliminary  observations  following  a  performance  audit  of  EUCAP  Sahel  Niger  and  EUCAP 
Sahel Mali in 2017 stressed the need to set indicators to capture quantified outputs and outcomes of the Missions’ activities and 
their  link  to  the  Missions’  mandates.  The  Court  also  recommended  performing  external  evaluations  of  the  Missions  to  gather  a 
more comprehensive assessment of their impact.  

Forthcoming implementation (2018-2019)  

Maintenance of the EU ability to respond rapidly and decisively throughout the spectrum of crisis management tasks will continue 
to be important, requiring both the availability and flexibility of funding. New crises can flare up at any time and existing crises can 
become aggravated. Current indications though suggest there is likely to be only a small margin in the 2019 CFSP budget for new 
unexpected CFSP actions. 

It is foreseen that in 2018 the HR/VP will present a Civilian Capability Development Plan and a Civilian CSDP Compact. In the 
meantime,  potential  implementation  developments  over  the  period  2018-2019  include  a  readiness  to  reactivate  a  presence  and 
support at the Rafah crossing point, should the political and security conditions permit, and possible further engagement in Iraq and 
Libya.  In  addition,  civilian  CSDP  engagement  in  the  Horn  of  Africa  and  the  Sahel  could  continue  and/or  be  reinforced.  In  the 
Eastern  neighbourhood  continued  financing  for  EUMM  Georgia  may  be  needed.  In  the  Western  Balkans,  despite  the 
reconfiguration of EULEX Kosovo, financing of the Kosovo Specialist Chambers could continue to have a significant impact on 
the  CFSP  budget.  For  planning  purposes,  it  may  be  assumed  that  funding  requirements  for  EUSRs  will  continue  at  or  around 
current  levels.  Depending  upon  decisions  of  the  Council,  a  number  of  new  activities  in  the  areas  of  Disarmament,  Non-
Proliferation, and Arms Export Controls may be undertaken.  

III. Programme key facts and performance framework 

1. Financial programming 

The  European  Council  defines  the  principles  and  general  guidelines  for  the  CFSP  as  well  as  common 
strategies to be implemented by the EU. 

2014 - 2020 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Administrative support 
Operational appropriations 
Total 

0,4 
300,8 
301,1 

0,5 
269,6 
270,1 

0,5 
202,4 
202,9 

0,5 
286,3 
286,8 

0,4 
327,6 
328,0 

0,5 
334,4 
334,9 

0,5 
341,4 
341,9 

Total 
Programme 
3,3 
2 062,5 
2 065,7 

509 See for instance http://data.consilium.europa.eu/doc/document/ST-5361-2017-INIT/en/pdf and http://data.consilium.europa.eu/doc/document/ST-5975-2017-
INIT/en/pdf 
510 http://www.eca.europa.eu/Lists/ECADocuments/SR12_18/SR12_18_EN.PDF 
511 http://www.eca.europa.eu/Lists/ECADocuments/SR15_07/SR_EUPOL_AFGHANISTAN_EN.pdf 

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2. Implementation rates 

Voted appropriations 

2017 

2018 

CA 
286,770 

Impl. Rate 
99,99 % 

PA 
258,572 

Impl. Rate 
99,84 % 

CA 
328,010 

Impl. Rate 
18,94 % 

PA 
292,021 

Impl. Rate 
5,41 % 

Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

20,54 % 

10,14 % 

92,56 % 

96,92 % 

338,954 

313,446 

350,656 

316,848 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Gender mainstreaming 
Civilian CSDP Missions take care to mainstream gender activities in their work, in particular through measures to combat violence 
against women and girls and to combat discrimination against females. EUCAP Sahel Mali has supported the establishment of a 
gender unit in the police service which will collect data on sexual and gender based violence, provide training, fight discrimination 
and promote gender equality  among Malian police. It also  implemented a  media campaign on  sexual and  gender-based violence 
informing the population in general and victims in particular of ways to seek protection, obtain justice and redress. EUPOL COPPS 
supported the development of the Gender Strategy of the Palestine Civil Police to develop a police service that is responsive and 
committed to gender issues including through addressing recruitment and retention policies, the design of facilities, training, and 
the  promotion  of  women  in  their  police  careers.  EUAM  Ukraine  has  provided  targeted  advice  and  support  for  the  fight  against 
gender based and domestic violence, results of which include the establishment of a Gender Focal Point Network in the Ministry of 
Interior  and  its  subordinated  agencies.  EULEX  Kosovo  has  been  working  with  Kosovo  authorities  to  address  the  need  for 
improvements  in  legal  provisions,  infrastructure  and  procedures  (including  the  collection  of  evidence)  for  cases  of  sexual  and 
gender based violence as well as in relation to the response to domestic violence. EULEX Kosovo also highlights and promotes the 
importance of females in the rule of law institutions. UMM Georgia implemented a wide-ranging campaign against gender-based 
violence, a campaign which included engagement on gender equality and female empowerment. 

Similarly EUSRs highlight and address gender issues, as well as other human rights issues, throughout their communications and 
diplomacy, particularly through engagement  with civil  society organisations. This is especially important in  some of  the regions 
where EUSRs work, where the rights of women are still feeble. Besides their general impact on peace and security and hence their 
indirect impacts on reducing sexual and gender based violence (which are too often even more common in conflict affected areas), 
some  non-proliferation  and  disarmament  projects  directly  mainstream  gender  issues.  This  is  particularly  the  case  for  non-
proliferation  and  disarmament  projects  addressing  the  trafficking,  security  and  accumulation  of  small  arms  and  light  weapons 
which  have  included  specific  gender-related  activities  both  in  the  generation  of  intelligence  as  well  as  the  implementation  of 
solutions. 

In 2017, 40% of Heads of CSDP missions were women (a decrease from 50% the previous year). This data is provided in line with 
Objective 2.2.1 of the EU Gender Action Plan 2016-2020.512 In 2017, 100% of CSDP missions and EUSRs reported a G-Marker513 
1, while 1 action (the European Security and Defence College) reported G-Marker 2. This data is provided in line with Objective 
5.3.2 of the EU Gender Action Plan 2016-2020. 

4. Performance information 

General objectives 

General  Objective  1: Contribute  to  the  implementation  of  the  Lisbon  Treaty  (Article  21  (2)  (c)  which  seeks  to  preserve  peace, 
prevent  conflicts  and  strengthen  international  security,  in  accordance  with  the  purposes  and  principles  of  the  United  Nations 
Charter, with the principles of the Helsinki Final Act and with the aims of the Charter of Paris. 
Indicator 1: Actual vs. planned capacity deployment rate (international staff) of the main CSDP missions 

Baseline 
2012 

84 % 

2014 

2015 

Milestones foreseen 
2016 
85% 

2017 
86% 

Actual results 

2018 

2019 

Target 2020 

90% 

80,5 % 

82,3 % 

82% 

80,6% 

* The indicator measures the actual implementation of the deployment (versus the operational plan) of the CSDP civilian missions 
under the respective responsibilities of:  
-  EEAS  in  terms  of  human  resources  mobilization  (international  staff,  i.e.  staff  seconded  from  the  Member  States  and 

contracted staff), IT, procurement, logistics, etc. , 
FPI in terms of expenditure management (budget, contracting, support to missions in financial issues, etc.). 

- 

512 'Transforming the Lives of Girls and Women through EU External Relations, 2016-20 '– SWD(2015) 182 final of 21/09/2015 
513 The OECD-DAC gender equality policy marker is used by the EU to report on whether aid activities target gender equality as a policy objective (for further 
details see: http://www.oecd.org/dac/gender-development/dac-gender-equality-marker.htm). 

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The  indicator  monitors  the  effectiveness  of  the  ongoing  civilian  CSDP  missions'  deployment  but  also  the  level  of  cooperation 
between the HRVP's services (EEAS and FPI). The fulfilment of the objectives of the mission's mandate depends on the transfer of 
know-how which is linked to the rapid generation of civilian capabilities. Reaching the full operational capacity of CSDP missions 
depends on effective mobilization of human resources and logistics. 

CDSP missions and EUSRs usually have annual mandates. The milestones and targets have been identified on the assumption that 
these actions will be extended until 2020, while keeping the same objectives. According to the Treaties, the evaluators of the CFSP 
achievements are the European External Action Service (EEAS) and the Council. 

Specific objectives 

Specific Objective 1: Support to preservation of stability through substantial CSDP missions and EUSRs mandates 
Indicator 1: Degree of achievement of the objectives as defined in the respective Council Decision / Joint Action (Actual vs. planned 
capacity deployment rate) 

Baseline 

1) EUMM Georgia. 
Actual vs. planned 
capacity deployment 
rate: 91% 

2) EULEX Kosovo 
Actual vs. planned 
capacity deployment 
rate: 91% 

3) EUBAM Libya 

4) EUPOL COPPS 
Actual vs. planned 
capacity deployment 
rate: 91% 

5) EUPOL 
Afghanistan 

Actual vs. planned 
capacity deployment 
rate: 91% 

6) EUCAP Sahel Mali 

7) EUAM Ukraine 

8) EUCAP Sahel Niger 
Actual vs. planned 
capacity deployment 
rate: 72.5% 

9) EUCAP  
Somalia (previously 
known as EUCAP 
Nestor) -  8% 

2014 

2015 

2016 

Milestones foreseen514 

91% 

72% 

73% 

Actual results 

87% 

86% 

Due to the continuously 
deteriorating security 
situation in the host 
country EUBAM Libya 
was relocated to Tunis 
on 31 July 2014. All 
operational activities 
were stalled by end of 
the year  

Milestones foreseen 

Actual results 
92% 
Actual results 

25% 
(due to particular 
security situation 
which during 2016 
prohibited 
deployment in 
Libya). 

Milestones foreseen 

Actual results 

91% 

82% 

92% 

2017 
86% 

73% 

86% 

93,3% 

95,8% 

86% 

68.6% 

91% 

82% 

Actual results 

72 % (Note: during 2016 
EUPOL Afghanistan was 
winding-down operations in 
readiness for the end of the 
mandate). 

Operational mandate finished 
at end 2016. 
Mission liquidated in 2017. 

Milestones foreseen 

Actual results 

50% 

74% 

77% 

Milestones foreseen 

Actual results 

62% 

81.9% 

89% 

Milestones foreseen 

Actual results 

80.7% 

79% 

65% 

Milestones foreseen 

Actual results 

86% 

72,1% 

86% 

81,2% 

86% 

74% 

86% 

54% 

72% 

88% 

73,2% 

2018 

2019 

Target 2020515 

90% 

90% 

90% 

90% 

90% 

90% 

90% 

514  Given  the  nature  of  their  activities,  and  the  often  volatile  or  hostile  environments  within  which  they  operate,  civilian  CSDP  missions  do  not  tend  to  have 
specifically specified interim milestones which are made publicly available. Given the qualitative nature of monitoring, mentoring and advising activities it proved 
difficult  to  identify  quantitative  milestones.   Maintaining  a high deployment  rate  has  though  been identified by  the  Commission  and  Court  of  Auditors  as being 
crucial to the successful achievement of Missions’ objectives. 
515 For each civilian CSDP Mission, the final target is the achievement of the objectives foreseen in the Council Decision / Joint Action establishing it.  Strategic 
Reviews of the achievements of Missions are periodically conducted by EEAS, which submits the results to Council for consideration in Mission planning. 

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Legal bases: 
1) Council Decision 2010/452/CFSP of 12 August 2010 on the European Union Monitoring Mission in Georgia, EUMM Georgia (OJ L 213, 13.8.2010, p. 43) 
2) Council Joint Action 2008/124/CFSP of 4 February 2008 on the European Union Rule of Law Mission in Kosovo, EULEX KOSOVO (OJ L 42, 16.2.2008, p. 92) 
3) Council Decision 2013/233/CFSP of 22 May 2013 on the European Union Integrated Border Management Assistance Mission in Libya (EUBAM Libya) (OJ L 
138, 24.5.2013, p. 15) 
4) Council Decision 2013/354/CFSP of 3 July 2013 on the European Union Police Mission for the Palestinian Territories (EUPOL COPPS) (OJ L 185, 4.7.2013, p. 
12)  
5) Council Decision 2010/279/CFSP of 18 May 2010 on the European Union Police Mission in Afghanistan (EUPOL AFGHANISTAN) (OJ L 123 19.5.2010, p. 4) 
6) Council Decision 2014/219/CFSP of 15 April 2014 on the European Union CSDP mission in Mali (EUCAP Sahel Mali) (OJ L 113, 16.4.2014, p. 21) 
7) Council Decision 2014/486/CFSP of 22 July 2014 on the European Union Advisory Mission for Civilian Security Sector Reform Ukraine (EUAM Ukraine) (OJ 
L 217, 23.7.2014, p. 42) 
8) Council Decision 2012/392/CFSP of 16 July 2012 on the European Union CSDP mission in Niger (EUCAP Sahel Niger) (OJ L 187, 17.7.2012, p. 48) 
9) Council Decision 2012/389/CFSP of 16 July 2012 on the European Union Capacity Building Mission in Somalia (EUCAP Somalia) (OJ L 187, 17.7.2012, p. 40) 

Expenditure related outputs 

Outputs 

1. CSDP Mission: EU Monitoring Mission in Georgia 
2. CSDP Mission: EU Rule of Law Mission in Kosovo (EULEX Kosovo) 
3. CSDP Mission: EUPOL (EU Police Mission) Afghanistan 
4. CSDP Mission: EUCAP Sahel Mali 
5. CSDP Mission: EUCAP Sahel Niger 
6. CSDP Mission: EU Police Mission for the Palestine Territories (EUPOL COPPS) 
7. CSDP Mission: EUCAP Nestor (Somalia) 
8. CSDP Mission: EUBAM Ukraine 
9. Other CSDP Missions 
10. Emergency measures (including reserve for the financing of staff and other costs in support of 
the EUSRs based outside the EU) 
11. Preparatory and follow-up measures 
12. EU Special Representatives 
Total 

Budget line 

19 03 01 01 
19 03 01 02 
19 03 01 03 
19 03 01 04 
19 03 01 04 
19 03 01 04 
19 03 01 04 
19 03 01 04 
19 03 01 04 

19 03 01 05 

19 03 01 06 
19 03 01 07 

Draft Budget 2019 

Number 
1 
1 
p.m. 
1 
1 
1 
1 
1 
5 

1 

1 
8 

EUR million 
19 
80 
p.m. 
28,4 
31 
12,4 
27,4 
34 
43,7 
19 

5 500 
13 500 
313 900 

Justification of changes to the financial programming and/or to the performance information 
Further  to  the  adoption  of  the  CBSD  initiative  in  December  2018,  a  decrease  of  EUR  7.5  million  per  year  over  2019-20  from 
Chapter 19 03 to part-fund CBSD costs is programmed.  

Specific  Objective  2: Support  the  implementation  and  promotion  of:  1)  strategy  on  non-proliferation  of  weapons  of  mass 
destruction in order to increase security in this area (WMD); 2) strategy on combating illicit accumulation and trafficking of Small 
Arms and Light Weapons (SALW) as well as measures against illicit spread and trafficking of other conventional weapons; 3)EU's 
policies in the field of conventional arms exports, in particular on the basis of Common Position CFSP/944/2008 
Indicator 1: Number of countries having ratified the treaties mentioned in the baseline 

Baseline 
2012 
1) Comprehensive Nuclear-Test-
Ban Treaty Organization, 
CTBTO: number of countries 
having ratified 159 
2) UN Resolution 1540: 
number of countries having 
submitted the National 
Implementation Plan 

3) Nuclear security assistance 
provided by IAEA: 82 countries 

4) Arms Trade Treaty: number 
of ratifications 
NB: entered into force on 
24/12/2014 

2014 

2015 

Milestones foreseen 
2016 

2017 
165 

Actual results 

163 

164 

166 

14 

21 

26 

Actual results 

166 

175 

31 

Assistance provided 
to up to 120 
countries. 

Actual results 

104 

120 

104 

Entry into force of the 
Treaty (ratified by 100 
States Parties) 

Actual results 

100 
Entry into force 
of the Treaty 
(ratified by 50 
States Parties) 

61 

79 

88 

89  
(94 including 
accessions, 
acceptances and 
approvals 

Sources of data: 
CTBTO website: http://www.ctbto.org/the-treaty/status-of-signature-and-ratification/  

2018 

2019 

Target 2020 

166 

192 

120 (focusing on 
countries for EU 
interest) 

130 

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UN Resolution 1540 website: http://www.un.org/en/sc/1540/    
IAEA website: https://www.iaea.org/Publications/index.html 
Arms Trade Treaty website: http://www.un.org/disarmament/ATT/ 
Progress  in  other  monitoring  reports  will  be  followed:  Nuclear  Non-Proliferation  Treaty  (NPT),  Chemical  Weapons  Convention  (CWC), 
Biological  and  Toxin  Weapons  Convention  (BTWC),  Arms  Trade  Treaty  (ATT),  Comprehensive  Nuclear-Test-Ban  Treaty  (CTBT)  and  The 
Hague Code of Conduct against Ballistic Missile Proliferation (HCoC). 

Expenditure related outputs 

Outputs 

1. Projects in the area of non-proliferation of weapons of mass destruction 
2. Projects in the area of non-proliferation of Small Arms and Light Weapons 
Total 

Budget line 

19 03 02 
19 03 02 

Draft Budget 2019 

Number 
6 
4 

EUR million 
12 300 
8 200 
20 500 

Outputs 

1.  Projects  in  the  area  of  non-proliferation  of 
weapons of mass destruction 
2.  Projects  in  the  area  of  non-proliferation  of 
Small Arms and Light Weapons. 

F 
P 
F 
P 

2014 
4 
4 
3 
1 

Number of outputs foreseen (F) and produced (P) 
2017 
6 
7 
3 
6 

2016 
5 
2 
3 
1 

2018 
6 

2015 
5 
5 
3 
3 

3 

4 

2019 
6 

2020 
7 

4 

5. Programme contribution to the Sustainable Development Goals 

CFSP  contributes  to  the  achievement  of  gender  equality  and  the  empowerment  of  women  and  girls  under  SDG  5  as  well  as 
contributing to the promotion of peaceful and inclusive societies for sustainable development and to providing access to justice for 
all and to build effective, accountable and inclusive institutions at all levels in line with SDG 16. 

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HEADING 4: Global Europe 

Instrument for Nuclear Safety Cooperation (INSC) 
Lead DG: DEVCO 

I. Programme Overview 

What the programme is about? 

The promotion of nuclear safety is a key priority for the EU since the early days of the EEC and EURATOM. The Instrument for 
Nuclear Safety Cooperation contributes to the promotion of the implementation of international treaties and conventions as well as 
the  adoption  of  the  highest  safety  standards  complementing  work  inside  the  EU.  It  also  exports  the  "acquis  communautaire" 
worldwide and promotes nuclear safety cooperation. The INSC is the only specific tool of the European Union addressing nuclear 
safety issues in partner countries, complementing other external financing instruments, for example as part  of the neighbourhood 
policy. It covers cooperation in nuclear safeguards which is essential to the global non-proliferation policy.  

The Fukushima Daichii accident in 2011 after the Chernobyl disaster in 1986 showed that any accident has trans-boundary effects, 
and impacts the international community widely. The access to nuclear or radioactive materials is a security concern for the global 
world,  with  proven  evidence  that  non-State  actors  are  trying  to  access  such  materials.  The  Instrument  for  Nuclear  Safety 
Cooperation has successfully contributed to the reduction of both risks, by providing support especially to regulatory authorities, in 
particular  in  countries  under  the  EU's  neighbourhood  policy  such  as  Armenia,  Belarus,  Egypt,  Jordan,  Morocco  and  Ukraine 
engaged in nuclear power generation. It also contains health and ecological measures directed to the population that suffered from 
the Chernobyl accident in Ukraine and Belarus. 

The safe management of waste has included support to Ukraine in dealing with the consequences of the Chernobyl disaster, as well 
as in cleaning up contaminated sites, and a large remediation programme in Central Asia to address the legacy of former uranium 
mining sites left abandoned after the collapse of the Soviet Union. Both programmes have had an important and direct impact o n 
the affected population living in the area, in order to improve their safety as well as their quality of life. 

EU added value of the programme 

The  INSC  is  the  external  policy  instrument  of  the  EU  that  plays  a  role  in  the  framework  of  the  G7  in  particular  the  Global 
Partnership  Program  against  the  spread  of  weapons  and  materials  of  mass  destruction  and  supports  G7  decommissioning 
programmes. It provides for the EU's policy role at the European  Bank for  Reconstruction and  Development (EBRD) and at the 
International Atomic Energy Agency (IAEA) in this field.   

The  added  value  of  the  Instrument  received  international  recognition  at  the  the  7th  IAEA  Convention  on  Nuclear  Safety  review 
meeting  in  2017,  where  "the  implementation  of  the  Instrument  for  Nuclear  Safety  Co-operation  Program  for  assisting  non-EU 
countries" was officially acknowledged world-wide as ”good practice”. 

The  completed  Mid  Term  Review  (MTR)  on  the  external  financing  instruments  of  the  EU  acknowledged  INSC's  unique  value 
added  due  to  the  institutional  framework  that  allows  the  Commission  to  act  at  a  global  level;  the  instrument  is  supporting 
complementarities, coordination and synergies to other thematic and geographical external policies and is effective in leveraging 
financial resources for nuclear safety. 

The major decline over time in the scale of cooperation with nuclear operators (from 63M in 2007-2009 to 3M in 2012-2013) and 
the cessation of support for safety improvements, due to the events related to the Fukushima accident, warrants careful reflection 
for  the  future.  Nuclear  safety  is,  in  practice,  achieved  by  those  who  design,  construct,  operate  and  decommission  nuclear 
installations.  Failure  to  fully  recognise  this  reality  is  likely  to  result  in  the  sub-optimal  allocation  of  future  INSC  resources  in 
enhancing  global  nuclear  safety.  While  the  importance  of  transferring  European  knowledge  and  experience  in  supporting  the 
establishment of competent and independent nuclear regulators elsewhere is not in question, the transfer of European experience in 
the safe design, construction and operation of nuclear installations is likely to be even more effective in enhancing global nuclear 
safety. This aspect warrants careful consideration in optimising the scope and content of further INSC activities. 

II. Programme Update 

Implementation Status (2014-2017) 

The  Annual  Action  Programme  2014  contained  7  Actions  (Central  Asia;  Iraq;  Tanzania;  Ukraine  (2  Actions);  Training  and 
Tutoring; Support measures) for a total of EUR 29,3 million. All the actions subject to the N+ 1 516 rule have been contracted before 
31/12/2015 and all the Financing Agreements were signed by 04/12/2015. Three actions, although subject to the N+3 rule 517, were 
contracted and started before the end of 2016. Only the action foreseen for Ukraine is expected to be signed later in 2017/2018 as 
results from other currently ongoing projects are needed before the implementation of this action can start. All projects are going 
according to schedule.   

516 The N+1 rule applies when there is no financing agreement with the Beneficiary Country; the contracting of the project must be concluded before the end of the 
year following of the adoption by the Commission of the Annual Action Programme. 
517 The N+3 rule applies when a Financing Agreement with the Beneficiary Country is necessary; this is concerning in particular supply contracts where the 
Contracting Authority is the Beneficiary due to the issue of nuclear liability. 

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The Annual Action Programme 2015 contained 10 Actions (actions to be implemented in: Armenia; Belarus; Central Asia; China; 
Cooperation  with  IAEA;  Ukraine;  Contribution  to  the  Chernobyl  Shelter  Fund;  Morocco;  Safeguards;  Support  Measures).  The 
necessary  steps  for the signature of  the Financing agreement  have already  started. Two  actions  were already contracted (Central 
Asia and Chernobyl Shelter Fund).  All actions subject to N+1 rule  have been contracted before the 31/12/2017. Several projects, 
subject to the N+ 3, have been by the end of 2017 except one procurement contract (Central Asia) for which the tender procedure 
was unsuccessful; the corresponding project has been cancelled and the corresponding budget de-committed.  

The  Annual  Action  Programme  2016  consists  of  11  Actions  (Armenia,  Belarus,  Iran,  Ukraine  (2),  South  East  Asia,  Turkey, 
Training and Tutoring, Contribution to the Chernobyl Shelter Fund, Technical support from the Joint Research Centre and support 
measures).  Four  projects  have  been  contracted  (Armenia,  Ukraine  and  Joint  Research  Centre)  and  the  last  payment  of  the 
contribution  to  the  Chernobyl  Shelter  Fund  executed  early  2017518.  The  procedures  to  contract  the  remaining  actions  have  been 
completed before the end of 2017. 

The annual Action Programme 2017 consists of 11 Actions (Armenia, (2), Georgia, Iran (2), Serbia (2), Ukraine, Contribution to 
the  Nuclear  Safety  Account  and  the  Environmental  Remediation  Account  for  Central  Asia  and  support  measures).  The  two 
contributions to the funds managed by the EBRD have been paid in 2017. All actions subject to N+1 rule will be contracted before 
31/12/2018. Several projects, subject to the N+ 3 rule, will be contracted by the end of 2021 (7 contracts). 

Key achievements  

Safe management of Radioactive Wastes 
The  Central  Asia  states  have  inherited  one  billion  tons  of  hazardous  processing  waste  -  highly  toxic  chemical  and  radioactive 
residues left behind and unsafely stored in uranium legacy sites. The EU flagship programme for the remediation of the legacy sites 
is now mature for implementation, with the completion of the necessary feasibility studies and environmental impact assessments. 
The  EBRD,  upon  the  European  Commission  request,  established  in  2015  a  dedicated  multi-donor  Environmental  Remediation 
Fund.  The  European  Commission  has  organised  in  2017  a  very  successful  side  event  during  the  72nd  United  Nations  General 
Assembly in New York, opened by the Ministry of Foreign Affairs of Estonia on behalf of the EU Presidency. The President of the 
Kyrgyz  Republic, three Foreign Ministers from Central Asia, The Minister of Emergency Situations of the Kyrgyz Republic and 
the  EU  Special  Representative  attended  the  event  which  created  the  momentum  for  a  successful  donor's  conference.  This 
conference will be held in November 2018 supported by the European Commission together with the EBRD and the International 
Atomic energy Agency 8. 

A major milestone to make the Chernobyl site environmentally stable and safe was met on 29 November 2016 by sliding the New 
Safe  Confinement over the  nuclear reactor destroyed in  April 1986. The New Safe  Confinement is a giant arch-shaped structure 
that covers the damaged Chernobyl Unit 4 in order to prevent any further radioactive release.  It is a unique engineering project of 
proportions: a span of 257 metres, a length of 162 metres and a height of 108 metres.  The New Safe Confinement also contains the 
remotely operated equipment for ultimate removal of the damaged reactor and radioactive material. This important milestone in the 
project  was  achieved  thanks  to  the  joint  effort  of  the  European  Union,  Ukraine,  the  European  Bank  for  Reconstruction  and 
Development,  and  the  international  community.  The  total  project  cost  is  in  the  order  of  EUR  1.5  billion,  to  which  the  EU 
contributed more than 430 million (under the TACIS (EUR 210 million) and INSC (EUR 220 million) programmes); it is scheduled 
for completion by the end of March 2018 with an official hand-over to the Ukrainian government on 26 April 2018.  

Capacity Building 
The first project supporting the Iranian Nuclear Regulatory Authority has been kicked-off in July 2017 and is running smoothly in a 
very cooperative atmosphere. A second project supporting the  implementation of  the  stress tests exercise at the Bushehr  nuclear 
power plant has been contracted at the end of 2017 and will start in April 2018.  A follow-up project has been agreed with Iran in 
2017,  in  compliance  with  the  EU  commitment  to  the  implementation  of  the  Joint  Comprehensive  Plan  of  Action;  it  will  be 
contracted  in  the  second  half  of  2018.  A  third  project  has  been  agreed  to  be  submitted  for  financing  under  the  Annual  Action 
Programme 2018 demonstrating the reaffirmed commitment of the EU to the full implementation of the Joint Comprehensive Plan 
of Action.  

Successful engagement with Turkey has been achieved in 2017 with the contracting of a project supporting capacity building for 
the nuclear regulatory authority in view of the decision to introduce nuclear in the national energy mix. The kick-off meeting has 
been held in January 2018. 

Evaluations/Studies conducted 

The INSC evaluation was launched in the third quarter of 2016 and completed in 2017. Based on the results of this external study, a 
Staff Working Document has been produced519, distributed and adopted by the Commission ("Report from the Commission to the 
European Parliament and the Council – Mid-term review report of the External Financing Instruments – COM(2017), 720 final of 
15.12.2017).  All  documents  are  available  at  the  following  address:  https://ec.europa.eu/europeaid/public-consultation-external-
financing-instruments-european-union_en. 

The  completed  interim  evaluation  (SWD)  acknowledges  the  positive  contribution  of  the  Instrument,  noticing  its  capability  to 
respond swiftly to new needs, for example in Iran, Serbia, Georgia and in Ukraine. 

An additional (and last) contribution for the Chernobyl remediation programme managed by the European Bank for Reconstruction and Development will be 
paid under the Annual Action Programme  2017 for the Nuclear Safety Account that finance an Interim Storage for spent nuclear fuel (ISF-2 project). 

519  SWD(2017) 605 final 

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The  SWD  acknowledged  INSC's  unique  value  added  due  to  the  institutional  framework  that  allows  the  Commission  to  act  at  a 
global  level;  the  instrument  is  supporting  complementarities,  coordination  and  synergies  and  is  effective  in  leveraging  financial 
resources for nuclear safety and contributing to sector policy and political dialogue. The SWD found that the instrument contributes 
positively to EU cross-cutting priorities related to the environment, good governance, flexibility, ownership and gender. 

The  main  drawback  recognised  by  the  SWD  is  the  limited  visibility  of  the  Instrument  vis  à  vis  the  civil  society  and  non-expert 
community. Criticism has been also raised during the interim evaluation on monitoring of the Programme; the SWD states that the 
application of monitoring actions is generally in line with other External Financing Instruments. 

Forthcoming implementation (2018-2019)  

The  priorities  for  2017  /  2018  are  defined  in  accordance  with  the  objective  of  the  INSC  Regulation  (2014-2020)  and  the 
corresponding MIPs (2014 – 2017 and 2018 – 2020). Priority will be given to Accession Countries (Turkey and Balkan Countries) 
and countries in the European Neighbourhood area (ENP East: Armenia, Belarus, Georgia and Ukraine; ENP South: Egypt, Jordan, 
Morocco  and  Iraq)  and  Africa.  The  new  Multi-annual  Indicative  Programme  (2018  –  2020)  confirms  the  initial  objectives; 
nevertheless  the  balance  between  the  support  to  regulatory  authorities  and  the  safe  management  of  radioactive  waste  has  been 
slightly  revisited  to  take  into  account  the  new  arising  challenges  (a  5%  shift  from  nuclear  safety  to  nuclear  waste).  The 
improvement of the nuclear safety culture will remain the primary objective under the Instrument for Nuclear Safety Cooperation. 
Activities in  waste  management including environmental remediation and decommissioning  will continue and cooperation in the 
field of Safeguards will be maintained.  

In  2018  support  the  Iranian  Nuclear  Regulator  will  continue  including  the  establishment  of  the  Nuclear  Safety  Center  foreseen 
under  the  Joint  Comprehensive  Plan  of  Action  and  for  which  the  feasibility  financed  by  the  EU  will  be  completed  early  2018. 
Engagement with the Regulatory authority of Ghana (country embarking in nuclear energy) and continuation with Ukraine as well 
as cooperation with the IAEA will be proposed. An ambitious training and education programme in nuclear safety and safeguards 
will be initiated building upon past successful projects and addressing the generation and nuclear energy expansion challenges. The 
2018 programme will finally include nuclear waste projects to address the issue in the Balkans, Central Asia and Ukraine.  

The  last  EU  pledge  to  the  Chernobyl  related  Nuclear  Safety  Account  has  been  executed  in  2017  and  a  new  contribution  for  the 
Environmental Remediation Account for Central Asia has been paid prior to the international donors conference being organised by 
the European Commission, the International Atomic Energy Agency and the European Bank for Reconstruction and Development 
in November 2018.  

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Council  Regulation  (Euratom)  No  237/2014  of  13  December  2013  establishing  an 
Instrument for Nuclear Safety Cooperation 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

225,3 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

1,2 
29,3 
30,5 

1,4 
59,7 
61,2 

1,4 
70,4 
71,8 

1,4 
50,0 
51,4 

1,5 
31,5 
33,0 

1,5 
32,2 
33,6 

1,5 
31,4 
32,9 

Total 
Programme 
9,9 
304,5 
314,4 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

51,431 

100,00 % 

41,692 

98,59 % 

32,967 

2,82 % 

25,461 

8,45 % 

Authorised appropriations (*) 

54,497 

100,00 % 

44,974 

96,78 % 

32,967 

2,82 % 

26,899 

11,83 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 
The environmental remediation projects in Central Asia and Ukraine are contributing to the  Climate Change Adaptation in the 
concerned regions. Adaptation means anticipating the adverse effects of climate change and taking appropriate action to prevent or 
minimise  the  damage  they  can  cause,  or  taking  advantage  of  opportunities  that  may  arise.  As  an  example,  the  environmental 
remediation  program  in  CA  is  all  about  Climate  Change  Adaptation.  We  are  basically  preventing  serious  ecological  and 
environmental risks (disaster) by remediating fragile and unsecure tailings sites located next to the rivers. These rivers are more and 

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more  frequently  experiencing  spring  flash  floods  due  to  rapidly  melting  glaciers  in  Central  Asia.  Climate  change  will  generate 
increased  natural  hazards  (as  e.g.  rain  fall,  landslides,  mudflow,  etc.)  that  will  in  turn  disperse  toxic  materials  if  not  properly 
remediated. 

4. Performance information 

General objectives 

General  Objective  1: The  Union  shall  finance  measures  to  support  the  promotion  of  a  high  level  of  nuclear  safety,  radiation 
protection, and the application of efficient and effective safeguards of nuclear material in third countries 
Indicator 1: Number of countries benefiting from EU support in developing of a culture of safety for nuclear energy 

Baseline 2014 

2014 

2015 

Milestones foreseen 

2016 
10 countries 

2017 

2018 
11 countries  12 countries  12 countries 

2019 

6 countries 

6 countries520 

8 countries521 

Actual results 

10 + 2 
regions522 

3523 

Target 2020 

12 countries* and 3 
regions (Central Asia, 
Africa and South East 
Asia) 

*  The  countries  embarking  on  nuclear  energy  are:  Armenia,  Bangladesh,  Belarus,  Egypt,  Indonesia,  Jordan,  Malaysia,  Mongolia,  Morocco, 
Nigeria,  the  Philippines,  Thailand,  Turkey  and  Vietnam.  The  countries  with  radioprotection  issues  are  Ukraine,  Kyrgyzstan,  Tajikistan  and 
Uzbekistan. 
Specific objectives 

Specific Objective 1: 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. 
Indicator 1: Number of regulatory documents produced in the beneficiary countries with the support of EU expertise 

Baseline 2012 

4 

2014 
2 

5 

2015 
1 

3 

Milestones foreseen 

2016 
1 
Actual results 
5 

2017 
1 

5* 

2018 
1 

2019 
1 

2020 (total 2014-2020) 

8 

*  These  documents  are:  development  of  uranium  mining  regulations,  including  technical  guidelines  on  waste  management,  radiation  and 
environmental  protection  and  monitoring  (Mongolia),  Strategy,  methodology  and  procedures  for  nuclear  power  plant  waste  streams  and 
Regulations for neutron source facility (Ukraine), Regulatory guide for the use of PSA and Brazilian guide on regulatory review of PSA (Brazil). 

This indicator describes the implementation of EU projects: 
At  the  preparation  phase  of  the  projects,  a  number  of  issues  are  identified  through  several  Cooperation  Forums  with  the  IAEA.  Subsequently 
during the implementation phase these issues are addressed through actions (e.g. training, reports, draft regulations). This indicator measures the 
number of nuclear safety regulatory documents (and actions such as laws, regulations, guidelines) that are produced with the support of the EU 
project  and  which  proposes  solution  to  the  issues  identified.  At  the  final  stage,  those  documents  are  adopted  by  the  Beneficiary  country  and 
applied  by  the  concerned  stakeholders  (operators,  regulatory  authorities,  nuclear  facilities).  This  indicator  is  amongst  the  programme 
implementation indicators in the MIP 2014-2017524. 

Expenditure related outputs 

Outputs 

1.Number of regulations and/or guidance in nuclear safety benefitting of the transfer of EU expertise 
2. number of staff trained in the beneficiary countries 
3. EC additional contribution to EBRD for the Chernobyl accident related projects* 
Total 

Budget line 

21 06 01 
21 06 01 
21 06 02 

Draft Budget 2019 

Number 
1 
120 

EUR million 
12 
1.6 

13.6 

Outputs 

1.number  of  regulations  and/or  guidance  in  nuclear 
safety benefitting of the transfer of EU expertise 
2.  number  of  staff  trained  in  the  beneficiary 
countries 
3.  EC  additional  contribution  to  EBRD  for  the 
Chernobyl accident related projects (EUR million)* 

F 
P 
F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 

2014 
2 
5 
90 
291 
N/A 
0 

2015 
1 
3 
90 
415 
30 
30 

2016 
1 
5 
100 
520 
40 
40 

2017 
1 
5 
120 
465** 
30 
19.1 

2018 
1 

2019 
1 

2020 
1 

120 

100 

80 

N/A 

N/A 

N/A 

520 Armenia, Belarus, Indonesia, Jordan, Thailand and Vietnam.  
521 Armenia, Iraq, Morocco, Tanzania, Ukraine, Kyrgyzstan, Tajikistan and Uzbekistan. 
522  Bilateral projects with Armenia, Belarus, Egypt, Iran, Indonesia, Jordan, Mongolia, the Philippines, Thailand and Vietnam. Regional project in Central Asia 
and Southern Africa 
523 Iran, Georgia and Serbia 
524   Commission  Implementing  Decision  of  13.06.2014  on  the  Instrument  for  Nuclear  Safety  cooperation  Multiannual  Indicative  Programme  (2014  –  2017) 

C(2014)3764 Final. 

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* Additional appropriations amounting to EUR 100 million are mobilised under the INSC to continue EU's contribution to the Chernobyl Shelter 
Fund  (CSF)  and  the  Nuclear  Safety  Account  (NSA).  This  relates  to  the  funding  gap  of  around  EUR  615  million  identified  for  the  Chernobyl 
Shelter Implementation Plan and the EUR 105 million funding gap to complete the ISF2 under the NSA. Both funds are managed by the European 
Bank  for Reconstruction and Development (EBRD).  An  additional contribution of EUR 100  million is provided from the INSC  for the period 
2015-2017 in instalments of EUR 30 million, EUR 40 million and EUR 30 million, respectively. 

**  The  number  of  trainees  under  the  “Training  and  Tutoring”  programme  amount  to  450  trainees  and  15  tutees  in  2017.  It  reflects  the 
attractiveness and efficiency of the programme that corresponds to an identified need in the beneficiary countries. This increased value (compared 
to the foreseen output) is due to the cumulative effect of the projects that are running in parallel (Annual Action Programme 2010 and 2011). 

Specific  Objective  2: Responsible  and  safe  management  of  spent  fuel  and  radioactive  waste,  namely  transport,  pre-treatment, 
treatment, processing, storage and disposal, and the decommissioning and remediation of former nuclear sites and installations. 
Indicator 2: Number of waste management and remediation documents developed with EU support 

Baseline 2012 

4 

2014 
2 

2 

2015 
2 

1 

Milestones foreseen 

2016 
1 
Actual results 
2 

2017 
1 

3* 

2018 
1 

2019 
1 

Target 2020 (total 
2014-2020) 

8 

This indicator measures the number of documents produced with the EU support in the area of nuclear wastes: strategy, policy, regulation, laws, 
guidelines, environmental impact assessment and feasibility studies for remediation or decommissioning. "Waste management documents" has a 
broad meaning and does include also documents like spent fuel, nuclear waste and decommissioning strategies 
* Feasibility Study, Basic Design and Engineering Design of an Engineered Radioactive Waste Disposal Facility including the three following 
documents: "Review and Integration of the Inventory of LILW", "Design Criteria and Standards" and "Development of the Conceptual Design". 

Expenditure related outputs 

Number of regulatory document issued benefitting of the transfer of the EU expertise 

21 06 01 

Outputs 

Budget line 

Draft Budget 2019 

Number 
1 

EUR million 
18.5 

Outputs 

Number  of  national  strategies  developed  with 
EU support 
Number  of 
benefitting of the transfer of the EU expertise 

regulatory  document 

issued 

2014 
1 
2 
0 
0 

F 
P 
F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
0 
0 
1 
3 

2016 
1 
0 
0 
2 

2018 
1 

2015 
0 
1 
1 
1 

1 

0 

2019 
1 

2020 
0 

0 

Specific Objective 3: The establishment of frameworks and methodologies for the application of efficient and effective safeguards 
for nuclear material in third countries. 
Indicator 1: Number of nuclear safeguards authorities benefitting from EC funded projects 

Baseline 2012 

0 

2014 
0 

0 

2015 
1 

1 

Milestones foreseen 

2016 
0 
Actual results 
0 

2017 
1 

2 

2018 
1 

2019 
0 

Target 2020 (total 
2014-2020) 

3 

This  indicator  describes  more  effectively  the  implementation  of  our  projects.  During  the  preparation  phase  of  projects  a  number  of  issues  are 
identified through several Cooperation Forums with the IAEA. Subsequently, during the implementation phase these issues are addressed through 
actions  (e.g.  training,  reports,  draft  regulations).  The  indicator  measures  the  number  of  national  or  international  safeguards  organisations  that 
benefit from projects transferring the EU expertise in the area of safeguards. This indicator is amongst the programme implementation indicators 
in the MIP 2014-2017. 

Expenditure related outputs 

Support to regional safeguards systems 

Outputs 

Budget line 

21 06 01 

Draft Budget 2019 

Number 
0 

EUR million 
0 

Outputs 

Support to regional safeguards systems 

2014 
0 
0 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 

2016 
0 
0 

2018 
0 

2015 
1 
1 

2019 
1 

2020 
0 

Justification of changes to the financial programming and/or to the performance information 

The indicators  in the  Programme Statement attached to Draft Budget 2017  have been changed as compared to the  previous  year 
2016.  The  indicators  proposed  in  the  Regulation  are  focused  on  the  identification  phase  of  projects  and  not  on  the  result  and 

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achievements  of  the  projects.  In  fact,  the  issues  identified  in  the  implementation  phase  are  directly  addressed  and  actions  put  in 
place,  for  example  these  actions  could  be:  trainings,  or  recommendations  on  how  to  change  gaps  in  the  legislation  or  even 
producing draft for regularity documents complying with international requirements. The  currently used indicators used are more 
linked to the programme implementation and are more relevant to assess the overall INSC' performance and achievements. 

5. Programme contribution to the Sustainable Development Goals 
The European Consensus on Development525 reiterates the need for full compliance with international environmental and nuclear 
safety standards in partner countries.  

Through its multidimensional approach that touches on the interlinkages between nuclear safety, health, the environment, and 
related issues, the INSC programme contributes to various other key areas of the European Consensus on Development.  
More specifically, the INSC advances the following Sustainable Development Goals526:  

SDG 2. End hunger, achieve food security and improved nutrition and promote sustainable agriculture: the remediation programme 
of uranium legacy sites will clear water and land for a sustainable agriculture in a region known as the bread basket of Central Asia 
(Ferghana Valley) 

SDG 3. Ensure healthy lives and promote well-being for all at all ages: remediation programmes in Central Asia and Ukraine will 
have a direct positive impact on the health of the affected population 

SDG  4.  Ensure  inclusive  and  equitable  quality  education  and  promote  lifelong  learning  opportunities  for  all:  the  Training  and 
Tutoring programme provides education opportunities in the beneficiary countries 

SDG  6.  Ensure  availability  and  sustainable  management  of  water  and  sanitation  for  all:  remediation  activities,  in  particular  in 
Central Asia, aim at restoring and providing to clean water 

SDG 8. End poverty in all its forms everywhere:  Contributing to the establishment of legal and regulatory framework in line with 
international  standards  creates  a  business  friendly  environment  in  the  partner  countries  that  allows  for  European  investment  that 
will in turn potentially create jobs and fight against poverty 

SDG 15. Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, 
and halt and reverse land degradation and halt biodiversity loss:  remediation activities in central Asia and Ukraine, aim at reversing 
land degradation. 

525 "The new European Consensus on Development: Our World, Our Dignity, Our Future". Joint statement by the Council and the representatives of the 
governments of the Member States meeting within the Council, the European Parliament and the Commission (OJEU C 210/1, 30.6.2017). 
526 United Nations General Assembly, "Transforming our world: the 2030 Agenda for Sustainable Development" (A/69/L.85).  

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HEADING 4: Global Europe 

Union Civil Protection Mechanism - Heading 4 
Lead DG: ECHO 

I. Programme Overview 

What the programme is about  

The Union Civil Protection Mechanism (UCPM) facilitates the cooperation in disaster response among 34 European States (28 EU 
Member States, the former Yugoslav Republic of Macedonia, Iceland, Montenegro, Norway, Serbia and Turkey). When activated, 
the  Mechanism  coordinates,  through  the  Emergency  Response  Coordination  Centre  (ERCC)  of  the  European  Commission,  the 
provision of assistance that the UCPM Participating States can make available to disaster-stricken countries all over the world. The 
support  provided  through  the  UCPM  can  take  the  form  of  in-kind  assistance,  deployment  of  specially-equipped  teams,  or 
assessment and coordination experts sent to the field. 

Under Heading 3, the UCPM coordinates and supplements the actions of the Member States in the field of civil protection with a 
view  to  improving  the  effectiveness  of  systems  for  preventing,  preparing  for  and  responding  to  natural  and  man-made  disasters 
within the Participating States of the UCPM.  

Under  Heading  4,  the  UCPM  supports  rapid  and  efficient  disaster  response  interventions  in  the  event  of  major  disaster  in  third 
countries.  It  also  supports  disaster  prevention  and  preparedness  activities  in  eligible  third  countries,  the  primary  beneficiaries  of 
which  are  the  European  Neighbourhood  Policy  countries  and  Instrument  for  Pre-Accession  Assistance  (IPA  II)  beneficiary 
countries, not yet participating in the UCPM.  Cooperation with IPA countries in civil protection (and Turkey) is also carried out 
through  the  regional  IPA  programmes.  The  aim  is  to  bringing  Western  Balkan  countries527  and  Turkey  closely  involved  in 
European civil protection activities. Two programmes are currently ongoing: 

The IPA Floods, which aims at improving flood risk management and develop train and equip three different flood response teams 
for each country (Boats, High Capacity Pumping and Flood Containment modules) and to provide technical assistance to support 
the implementation/approximation to the European flood directive.  

The  IPA  Multi-country  Disaster  Risk  Assessment  and  Mapping  programme,  (IPA  DRAM)  which  aims  at  improving  national 
systems for disaster loss data collection, risk assessment and mapping and support the development of  national risk assessments in 
line with EU guidelines and good practices and establishment of the Electronic Regional Risk Atlas (ERRA). 

EU added value of the programme 

The EU's added value comes in the form of:  
 

 

 
 

reducing the loss of human life, environmental, economic and material damage caused by disasters through a comprehensive 
approach covering disaster prevention, preparedness and response; 
an improved understanding disaster risks through cooperation on risk assessment and planning, and the gradual development of 
a culture of disaster prevention;  
an improved preparedness for disasters through training,  exercises, exchange of best practices and similar activities; 
an improved coordination of the response to disasters by bringing together and facilitating Member States' offers of assistance; 
increased  cost-effectiveness  through  the  pooling  of  assistance,  the  sharing  of  transport  capacities,  the  identification  of 
complementarities and the avoidance of duplication; a coherent, predictable and more visible response to disasters through the 
set-up of a European response capacity ready to help when needed. 

II. Programme Update 

Implementation Status (2014-2017) 

Since  2014,  selected  prevention  and  preparedness  actions  can  be  implemented  in  eligible  third  countries  (candidate,  potential 
candidates  countries  and  countries  covered  by  the  European  Neighbourhood  Policy),  helping  national  civil  protection 
administrations  increase  their  capacities  in  cooperation  with  Member  States  (through  prevention  and  preparedness  projects, 
exercises, by participating in the training programme or in the exchange of experts programme).  

Beyond  European  borders,  the  UCPM  was  activated  in  2017  in  response  to  devastating  events  such  as  the  floods  in  Peru,  the 
earthquake in Mexico and the tropical cyclones Irma and Maria in the Caribbean. Civil protection operations can be supported by 
satellite  maps  produced  by  the  Copernicus  Emergency  Management  Service.  This  service  provides  timely  and  very  precise 
geospatial information that is used to plan disaster relief operations.  

Key achievements  

 

Introduction  of  prevention  actions  in  eligible  third  countries  with  focus  on  the  prevention  of  technological  disasters  and  to 
support  the  implementation  of  EU  legislation  on  the  control  of  major-accident  hazards  involving  dangerous  substances  ('the 

527 Albania, Bosnia and Herzegovina, the former Yugoslav Republic of Macedonia, Kosovo, Montenegro, Serbia, 

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Seveso Directive') in cooperation with the Joint Research Centre of the Commission already enabled the transfer of knowledge 
and experience of Member States with technological disasters from warnings and notifications of disasters to response.  

  The peer review programme in third countries, with assistance of Member States experts (peer reviews in Georgia and Turkey, 
advisory missions to Indonesia, Jordan and Bhutan), which helps  identify possible weaknesses in the current  civil protection 
system and propose suitable solutions for improvements in preparedness of national civil protection organisations. 

  Provision  of  international  assistance  to  third  countries  affected  by  forest  fires,  floods,  earthquakes,  tropical  storms, 
humanitarian crisis and epidemics. In 2017: the Mechanism  facilitated the provision of assistance to the following countries 
(Albania, Armenia, Bangladesh, Chile, Dominica, Iraq, Mexico, Montenegro, Peru, Tunisia and Uganda).  

  Training quotas are allocated to third countries and thirds  countries  modules are invited to participate  to  modules exercises. 
Third countries have benefited also from the collaboration with Participating States during the implementation of the UCPM 
exercises funded by the EU. 

Evaluations/studies conducted 

The mid-term evaluation of the current UCPM legislation was completed and followed by a Commission report to the Parliament 
and the Council 528 as foreseen in Article 34 of Decision No 1313/2013/EU. It took into account the result of the external study529 
conducted  and  other  performance  assessments  such  as  the  'European  Court  of  Auditors  review  of  the  UCPM530,  and  the 
Commission report on progress made and gaps remaining in the European Emergency Response Capacity531. 

The evaluation assessed the effectiveness, efficiency, relevance, coherence, EU added value and sustainability of the UCPM and 
provided  recommendations  on  how  the  implementation  of  the  Decision  could  be  improved.  The  evaluation  underlined  that  the 
Mechanism has clear EU added value for Participating States under all three thematic pillars  – disaster prevention, preparedness 
and response.  

In the area of response, EU added value was most evident in the comprehensive overview of capacities available at the EU level 
and the possibility to request coordinated EU wide response through a single platform. The Union Mechanism has proven to be a 
useful tool to mobilise and coordinate the assistance provided by the Participating States responding to crises inside and outside the 
Union, constituting a tangible proof of European solidarity. There has been a positive change from ad hoc coordination system to a 
more predictable, pre-planned and coherent organisation of EU disaster response. The addition of new capacities via the European 
Emergency  Response  Capacity  (Voluntary  Pool)  has  enhanced  the  overall  disaster  preparedness  at  EU  level  and  allowed  for 
immediate  deployable  response  resources  bringing  together  a  range  of  relief  teams,  experts  and  equipment  from  Participating 
States.  The  UCPM  is  effective  in  responding  to  disasters  inside  and  outside  the  EU,  benefitting  from  the  interlinked  UCPM 
activities.  Outside  of  the  EU,  the  UCPM  can  fill  important  emergency  gaps  in  cases  where  it  is  not  possible  to  fully  deploy 
humanitarian assistance and/ or where specific technical expertise and/or assets are needed. In addition, the assessments carried out 
by civil protection experts deployed by UCPM can usefully feed into wider disaster recovery frameworks. 

Key challenges remain in establishing capacity needs and setting appropriate capacity targets and further development of quality 
standards and better linking prevention with preparedness and response activities.  

The  UCPM  is  to  find  the  right  balance  between  being  a  framework  of  mutual  assistance  between  European  countries  in  the 
aftermath of natural and  man-made disasters and evolving  towards a  more  complex instrument capable of addressing  crises of  a 
multiple nature and with a global reach. 

Forthcoming implementation (2018-2019)  

The prevention and preparedness actions with eligible third countries will continue. Prevention and preparedness project, exercises, 
training  and  the  exchange  of  experts  programme  will  provide  opportunities  for  the  involvement  of  relevant  civil  protection 
authorities to improve their capacities.  

In 2018, the Commission will continue to support the implementation of EU legislation on the control of major-accident hazards 
involving dangerous substances ('the Seveso Directive') by the IPA II beneficiaries and European Neighbourhood Policy countries 
through  a  technical  cooperation  with  the  JRC  addressing  countries'  needs  over  the  long  term  in  areas  such  as  good  practice 
exchange and risk assessment.  

Another priority will be the implementation of the voluntary peer reviews in one or two IPA II countries not participating in the 
Mechanism  and  European  Neighbourhood  Policy  countries  as  an  essential  element  to  improve  the  countries’  policy-making  and 
governance in civil protection and disaster risk management. Response actions outside EU will follow any emergencies that might 
occur. The voluntary pool will be increasingly used in order to decrease the deployment time after the activation of the Mechanism.  

528 Commission staff Working Document  SWD(2017) 287 final of 30.8.2017  'Interim Evaluation of the Union Civil Protection Mechanism (2014-2016) 
accompanying the Report from the Commission to the European Parliament and the Council on the Interim Evaluation of the Union Civil Protection Mechanism for 
the period 2014- 2016 (COM(2017) 460 final) 
529 ICF, 'Interim Evaluation of the Union Civil Protection Mechanism. 2014-2016', Final Report, August 2017 https://publications.europa.eu/en/publication-detail/-
/publication/eb41bfee-78c3-11e7-b2f2-01aa75ed71a1/language-en/format-PDF 
530 European Court of Auditors, Special Report (2016), Union Civil Protection Mechanism: the coordination of responses to disasters outside the EU has been 
broadly effective : http://www.eca.europa.eu/Lists/ECADocuments/SR16_33/SR_DISASTER_RESPONSE_EN.pdf  
531 Report from the Commission to the European Parliament and the Council on progress made and gaps remaining in the European Emergency Response Capacity,   
 COM(2017) 78 final of 17.02.2017 

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Negotiations  are  currently  undergoing  regarding  the  Commission  proposal532  to  strengthen  the  UCPM,  commonly  known  as 
"rescEU". Regarding Heading 4, should the proposal be adopted in its current form and within the 2018/2019 period, it would have 
a  large  impact  on  the  UCPM  response  activities.  Given  the  new  financial  incentives  for  assets  committed  to  the  voluntary  pool, 
additional  capacities  might  be  used  in  emergencies  outside  the  EU.  Moreover,  the  proposal  grants  access  to  Member  States  to 
different EU funding instruments (other than UCPM) to cover the costs of operations outside the EU.  

III. Programme key facts and performance framework 
1. Financial programming 

Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 2013 
on a Union Civil Protection Mechanism 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

144,7 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

14,9 
14,9 

19,9 
19,9 

8,1 
8,1 

11,4 
11,4 

16,1 
16,1 

23,5 
23,5 

23,7 
23,7 

Total 
Programme 
117,8 
117,8 

2. Implementation rates 

Voted appropriations 

2017 

CA 

Impl. Rate 

11,411 

98,28 % 

PA 

9,697 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

71,22 % 

16,121 

62,34 % 

15,467 

15,77 % 

2018 

Authorised appropriations (*) 

12,896 

91,62 % 

11,406 

73,04 % 

16,855 

59,63 % 

17,974 

15,61 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR Million) 
2.33 

DB 2019 
(EUR Million) 
2.5 

Climate change linked actions  
The  figure  for  2018  and  2019  linked  to  the  climate  action  represents  around  40%  of  the  total  budget  for  prevention  and 
preparedness  outside  the  Union  including  following  activities:  prevention  projects,  studies  related  to  prevention  actions,  peer 
review  programme  and  the  exchange  of  experts  programme  related  to  prevention  activities.  This  methodology  follows  the  one 
applied since 2014. 

2014 
1,23 

2014 – 2016 
2015 
2 

2017-2018 estimates 

2016 
2,1 

2017 
2,22 

2018 
2,33 

2019-2020 programming 
2020 
2019 
2,6 
2,5 

Total 
2014-2020 
14,98 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR million). 

4. Performance information 
General objectives 

General  Objective  1: The  Union  Civil  Protection  Mechanism  shall  aim  at  strengthening  the  cooperation  within  the  EU  and 
facilitating coordination in the field of civil protection in order to improve the effectiveness of systems for preventing, preparing for 
and responding to natural and man-made disasters in Third countries. 
Indicator 1: Economic damage caused by natural disasters (Source: As recorded in the EM-DAT 533database   

Baseline 
Annual average 2010-2012 
USD  billion 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

155 

85 

Annual average 2014 – 2019* (USD Billion) 
93 
Actual results 
92 

141,3 

66 

Target 2020 
USD  billion 

93 

* Estimate based on the average of annual economic damage of the 2004-2014 years.  

532 Proposal for a Decision of the European Parliament and of the Council amending Decision No 1313/2013 on a Union Civil Protection Mechanism 
(COM(2017)772 final of 23.11.2017). 
533 EM-DAT: The Emergency Events Database - Université catholique de Louvain (UCL) - CRED, D. Guha-Sapir - www.emdat.be, Brussels, Belgium. 

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The  data  reflects  economic  damage  caused  by  natural  disasters  worldwide  excluding  the  economic  damage  caused  by  natural  disasters  in  the 
Member States of the European Union. The EM-DAT base is frequently updated and historical data revised.534 The annual results and evolution of 
this indicator depends on external factors (occurrence, frequency, severity and location of disasters) which are totally beyond the control of the 
Commission.  In  addition,  the  proportion  of  reported  economic  damages  varies  strongly  by  countries,  disaster  type,  and  time.  The  specific 
contribution of the Union Civil Protection Mechanism to the evolution of this indicator is difficult to assess.  

Specific objectives 

Specific Objective 1: To achieve a high level of protection against disasters by preventing or reducing their effects by fostering a 
culture of prevention and by improving cooperation between the civil protection and other relevant services. 
Indicator 1: Number of projects financed for prevention in Third countries covered by the Instrument for Pre-Accession Assistance 
and the European Neighbourhood Policy (including exchange of experts). 

Baseline 
2013 

N/A New 

2014 
4 

4 

2015 
4 

5 

Milestones foreseen 

2016 
5 
Actual results 
4 

2017 
7 

3 

2018 
7 

2019 
8 

Target 2020 

8 

The  available  budget  for  2017  did  not  allow  for  the  financing  of  additional  prevention  projects,  3  projects  were  selected  during  the  call  for 
proposals  2017.  As  other  activities  used  planned  budgetary  resources,  no  additional  funding  was  available  in  order  to  increase  the  number  of 
prevention projects funded. 
Expenditure related outputs 

Outputs 

Outputs 

Grant agreements 
Contracts 
Total 

Grant agreements 

Contracts 

2014 
2 
3 

F 
P 
F 
P 

Budget line 

23 03 01 02 
23 03 01 02 

Draft Budget 2019 

Number 
4-5 
2 
6-7 

EUR million 
1.8 
0.5 
2.3 

2015 
2 
4 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
3 
1 
1 

2016 
2 
3 
2 
2 

2018 
2 

2 

2 

2019 
4-5 

2020 
2 

Specific Objective 2: To enhance preparedness in Third countries to respond to disasters. 
Indicator  1: Number  of  projects  financed  for  preparedness  (including  training,  workshops  and  exchanges  of  experts)  in  Third 
countries covered by the Instrument of Pre-Accession and the European Neighbourhood Policy 

Baseline 
2013 

N/A New 

2014 
5 

5 

2015 
5 

6 

Milestones foreseen 

2016 
6 
Actual results 
7 

2017 
6 

6 

2018 
6 

2019 
7 

Target 2020 

7 

Expenditure related outputs 

Outputs 

Grant agreements and contracts 

Budget line 

23 03 01 02 

Draft Budget 2019 

Number 
10 

EUR million 
3.5 

Outputs 

Grant agreements and contracts 

2014 
4 
5 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
8 
7 

2016 
6 
7 

2018 
10 

2015 
5 
6 

2019 
10 

2020 
10 

Specific Objective 3: To facilitate rapid and efficient response in the event of disasters or imminent disasters. 
Indicator 1: Average speed of civil protection assistance interventions under the EU Civil Protection Mechanism (from the 
acceptance of the offer to readiness for deployment).  

Baseline 
2013 

≤ 36 hours 

2014 
≤ 24 hours 

2015 

2016 

2017 
≤ 18 hours 

2018 

2019 

Milestones foreseen 

Actual results 

Target 2020 

≤ 12 hours 

534 The data indicated reflects the information extracted from the data base available at the moment of the preparation of the programme statement. With a view of 
consistency  with  the  financial  programming  and  performance  information  previous  programme  statements  the  historical  data  communicated  are  therefore  not 
updated with the latest information recorded in the data base. 

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22 

20 

20.7 

Source: EU's Common Emergency Communication and Information System (CECIS) data base 
The indicator is measured as a yearly average of the duration between the acceptance of the offer in CECIS and the time when the assistance is 
ready for transportation from the port of embarkation in the EU for movement towards the affected country.  
The indicator covers modules, as well as for technical assistance and support teams and other response capacities corresponding to the categories 
defined for the European emergency response capacity (EERC  – Voluntary pool) as defined by Commission Decision   (2014/762/EU)   of 16 
October 2014 laying down rules for the implementation of Decision No 1313/2013/EU of the European Parliament and of the Council on a Union 
Civil Protection Mechanism.  
Quantitative response indicators will be partly influenced by the number, severity and nature of future disasters for which the UCPM is activated 
and which are unpredictable. In addition, from 2018, results will be influenced by the adoption / implementation of the Proposal for a Decision of 
the European Parliament and of the Council amending Decision No 1313/2013/EU on a Union Civil Protection Mechanism (RescEU). 

Expenditure related outputs 

Outputs 

Number of contracts  
Grant agreement/ service contract 
Number of contracts (deployment of experts) 
Total 

Outputs 

Number of contracts 

Grant agreement/ service contract 

Number of contracts (deployment of experts) 

F 
P 
F 
P 
F 
P 

Budget line 

23 03 02 02 
23 03 02 02 
23 03 02 02 

*Draft Budget 2019 

Number 
1 
90 
50 
141 

EUR million 
0.7 
16.5 
0.5 
17.7 

2014 
1 
1 
60 
91 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 
75 
28 

2016 
1 
1 
70 
45 

*2018 
1 

2015 
1 
1 
60 
67 

80 

90 

*2019 
1 

46 

36 

78 

51 

50 

50 

*2020 
1 

90 

50 

*2018-2020 figures have been amended to include RescEU. 
The  number  of  grant  agreements  depends  on  the  number  of  activations  of  the  EU  Civil  Protection  Mechanism.  In  2017,  as  there  were  fewer 
disasters in third countries than expected, the number of grant agreements is lower than forecasted.  

Justification of changes to the financial programming and/or to the performance information 
The increase in outputs (i.e. grant agreement/service  contracts) for the 2018-2020 period is based on the fact that  under the new 
proposed legislation (which incorporates the rescEU  initiative), Member States would be able to opt for funding from the UCPM 
for transport grants, and at the same time apply for other EU funding instruments to cover the operation costs of that operation. This 
would  imply  that  Member  States  no  longer  need  to  choose  either  UCPM  funding  (transport)  or  other  EU  instruments  (e.g. 
Humanitarian Aid for operational costs), and therefore more applications for transportation grants are expected. 
The figures related to outputs correspond to the Legislative Financial Statement accompanying the Proposal for a Decision of the 
European  Parliament  and  of  the  Council  amending  Decision  No  1313/2013  on  a  Union  Civil  Protection  Mechanism.  Eventual 
modifications of this legislative proposal could consequently result in a modification of these figures. 

Specific Objective 4: To increase public awareness and preparedness for disasters. 
The Union Civil Protection Mechanism strengthens cooperation and coordination between Member States in preventing, preparing 
for and responding to natural and man-made disasters. While response actions are foreseen anywhere in the world, the prevention 
and  preparedness  actions  are  limited  to  Member  States,  accession  candidates  and  potential  candidates,  and  European 
neighbourhood countries. According to Article 20(d) of Decision No 1313/2013 on a Union Civil Protection Mechanism Decision, 
public information, education and awareness raising and associated dissemination actions are limited to Union citizens. Therefore, 
the specific objective 4 has been removed (To increase public awareness and preparedness for disasters). The progress in increasing 
public awareness and preparedness is measured only inside the Union. 

5. Programme contribution to the Sustainable Development Goals 
Through the Union Civil Protection Mechanism, the Commission contributes to the following Sustainable Development Goals:   
  SDG 6 - Ensure availability and sustainable management of water and sanitation for all. DG ECHO and Participating States 
provide  water,  sanitation  and  hygiene  (WASH)  support  through  the  UCPM  response  to  those  in  need  during  humanitarian 
crises and ensure that the most vulnerable have access to WASH. 

  SDG 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for 
all.  By  providing  a  faster  response  to  natural  and  man-made  disasters,  the  UCPM  helps  minimise  their  impacts  on  the 
economical means of the affected areas, and therefore helps preserve the employment of local workers. 

  SDG  11  -  Make  cities  and  human  settlements  inclusive,  safe,  resilient  and  sustainable.  Through  our  support  for  a  holistic 
disaster  risk  management  at  all  levels  and  through  the  promotion  of  prevention  actions  which  aim  to  reduce  the  number  of 
deaths and the number of people affected, and decrease the direct economic losses caused by disasters.   

  SDG 13 - Take urgent action to combat climate change and its impact. By contributing to reinforcing resilience and adaptive 

capacity to climate-related hazards. 

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HEADING 4: Global Europe 

EU Aid Volunteers initiative (EUAV) 
Lead DG: ECHO 

I. Programme Overview 

What the programme is about 

EU  Aid  Volunteers  brings  together  volunteers  and  organisations  from  different  countries,  providing  practical  support  to 
humanitarian aid projects and contributing to strengthening the local capacity and resilience of disaster-affected communities. 

The  programme  incentivises  and  fosters  collaboration,  exchange  of  knowledge  and  good  practices  and  building  of  partnerships 
between  organisations  in  the  field  of  humanitarian  aid.  Organisations  participating  in  capacity  building  projects  form  consortia 
composed of a minimum of 2 EU-based organisations and 2 organisations based in third countries. Technical assistance projects 
require  the  participation  of  3  organisations  based  in  the  EU.  Furthermore,  the  set-up  of  a  dedicated  on-site  training  of  selected 
volunteers to prepare them for deployment creates a strong  'esprit de corps' among European volunteers from different countries 
training together in groups. This will then further be strengthened during the implementation of the programme through the creation 
of a network of former and current EU Aid Volunteers, and the sending and hosting organisations, boosting learning and further 
professionalization of the sector.  

EU added value of the programme 

The EU added value comes in the form of: 
 
 
 

bringing together Union citizens from different Member States for joint contribution in humanitarian aid operations; 
fostering transnational cooperation of humanitarian aid organisations and stakeholders; 
allowing for economies of scale through complementarities and synergies with other relevant national, international and Union 
programmes and policies; 
providing  for  a  tangible  expression  of  the  European  values  in  general  and  in  particular  the  solidarity  of  the  Union  and  its 
citizens with the people who are most vulnerable and in need; 
contributing  to  reinforcing  active  European  Union  citizenship  by  empowering  Union  citizens  from  different  generation  and 
with different social, educational and professional background to engage in humanitarian aid activities. 

 

 

II. Programme Update 

Implementation Status (2014-2017) 

The Annual Work Programme of the EU Aid Volunteers initiative was adopted in January 2017. It foresaw the publication of two 
calls for proposals, one for projects in the field of capacity building and technical assistance and another one for the deployment 
and apprenticeships of EU Aid Volunteers. It also covered the costs related to the evaluation of applications, the organisation of 
info days as well as support measures – such as the continuous development of a platform for project management and networking, 
communication and outreach activities, and the interim evaluation. The calls were published as planned, the interim evaluation was 
finalised, the development of the platform was completed, and communication and outreach activities were undertaken. The Annual 
Report 2016 was adopted on 12 June 2017535.  

Key achievements  

Key achievements in 2017 included the selection of 14 projects for capacity building (157 organisations), four projects for technical 
assistance (22 organisations) and six deployment projects for 175 EU Aid Volunteers in 2018. Until the end of 2017, 13 sending 
and 50 hosting organisations completed successfully their certification. Info days to promote the launching of the new calls and a 
first networking event  with 93 external participants  were organised. 178 candidate  volunteers attended the  four  training sessions 
organised in 2017, and the deployment of the 162 volunteers selected from the 2016 call for proposals also started in 2017. 

The consumption rate  of the  budget in 2017  was  80.5%  which  was  much higher than in the previous  years (40.3% in 2015 and 
46.4%  in  2016)  due  to  a  strong  demand  for  capacity  building  and  technical  assistance  funding  and  the  steady  increase  of 
applications for deployment (2 projects in 2015, 4 projects in 2016, 6 projects in 2017). The high deployment target set in the MFF 
for  the  year  2017  (525  volunteers  and  EUR  12  600  000  for  deployment)  could  not  be  reached,  as  the  number  of  applications 
received was lower than planned.  

The high deployment target set in the MFF for the year 2017 (525 volunteers and  EUR 12 600 000 for deployment) could not be 
reached, as fewer applications to the call for proposals were received than planned. In 2017, 178 EU Aid Volunteers were trained 
ready for deployment with the required qualifications and 162 EU Aid Volunteers were deployed. In 2017, 179 hosting and sending 
organisations participated in the EU Aid Volunteers initiative.  

Evaluations/Studies conducted 

535 http://ec.europa.eu/echo/who/accountability/annual-reports_en  

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A mid-term evaluation of the programme was carried out in 2017 according to Legal Base requirements536. A study carried out by 
an external contractor assessed the relevance, coherence, EU added value, effectiveness and efficiency as follows: 

Relevance The relevance of the five established operational objectives of the EU Aid Volunteers initiative was assessed against the 
different needs identified. The evaluation concludes that the Initiative is highly relevant. First, the needs highlighted in the Impact 
Assessment537  are  being  directly  addressed  by  the  actions  of  EUAV.  Second,  the  objectives  are  relevant  to  the  intended 
stakeholders, particularly in regard to strengthening capacity. Third, all the types of action identified in the Regulation538 help to 
fulfil the  objectives to an extent  which justifies their funding by the EUAV Initiative. It is understood that  not all objectives are 
formulated to be relevant to every stakeholder, and not every type of funded action is designed to be relevant to every objective. 

Coherence  The  analysis  of  the  coherence  of  the  EU  Aid  Volunteers  initiative  with  other  related  EU  activities  (emergency 
humanitarian response, development assistance, civil protection) revealed room for improvement. The initiative is not fully aligned 
with the main EU humanitarian aid processes (e.g. global needs analysis, planning of actions and engagement of professional sector 
actors).  To  date  there  is  only  informal  coordination  with  the  EU  development  actors  (e.g.  DG  DEVCO),  and  the  evaluation 
identified  potential  opportunities  for  cooperation  and  alignment,  especially  as  regards  contributing  to  the  implementation  of  the 
EU´s  Joint  Strategic  Approach  to  Resilience.  With  respect  to  civil  protection,  the  EU  Aid  Volunteers  initiative  shows  a  few 
examples of cooperation with EU civil protection actors (i.e. one EU national civil protection body active and another certified as 
sending organisation), but there is also a potential for improved coherence in this area. 

EU Added Value The  external study concluded that the  centralised  management provides added value in terms of an integrated 
transnational approach, EU level technical assistance and more project opportunities. The standard of volunteer management can be 
called a European standard as it is mandatory for all deployment grant applicants, and promoted at EU level. The quality of training 
provided  to  the  volunteers  is  also  a  clear  added  value  compared  to  other  existing  volunteering  schemes.  There  is,  however,  no 
evidence  that  the  initiative  has  significantly  enhanced  EU  visibility  and  image  at  public  level  in  the  EU  so  far.  A  significant 
proportion of interviewed stakeholders, survey respondents and also some Member States’ representatives do not fully agree with 
the statement that “What EUAV aims to achieve cannot be achieved by other Member States’ initiatives”. 

Effectiveness The external study found that the effectiveness varies between the different elements of the initiative. Those elements 
related to processes and administration show good effectiveness levels, e.g. implementation framework, processes and procedures, 
contract management, technical and procedural information to stakeholders, training of volunteers and skills development. To date 
the  Initiative  shows  limited  effectiveness  in  relation  to  “outreach”  components  such  as  the  engagement  of  professional 
humanitarian  actors,  the  external  communication  of  the  Union's  humanitarian  principles,  or  the  enhancement  of  coherence  and 
consistency of volunteering across Member States. With respect to deployment (a core aspect where figures are significantly below 
target), the initiative has not proved effective during the first half of its first implementation cycle. 
Efficiency With regard to efficiency the study concludes that the  Regulations539  which  govern  the EU  Aid Volunteers initiative, 
and therefore dictate the processes to be followed by its partners, are often perceived as complex, e.g. the need for certification, list 
of eligible countries, list of eligible activities, and long periods before deployment. Based on findings, the external study concluded 
that DG ECHO, together with the Executive Agency EACEA, have managed to establish a functioning implementation framework 
where continuous attempts to reduce complexity have led to visible improvements over time such as the reduction of the number of 
partners required for  grant application. The established  monitoring framework is complex but  workable, although some unviable 
indicators should be reviewed. As stated above, the evaluation identified cost-conscious behaviours (i) within DG ECHO / EACEA, 
for example requesting grant applicants to expressly comment on cost-effectiveness, and (ii) through service contracts: those drawn 
up for training and insurance of volunteers mostly use variable cost positions. Overall, the establishment and the implementation of 
the initiative, based on the requirements laid down in the regulations, can be deemed to be efficient. 

Forthcoming implementation (2018-2019)  

The  Annual  Work  Programme  2018  foresees  the  launch  of  two  calls  for  proposals:  one  for  capacity  building  and  technical 
assistance  projects,  with  the  objective  to  strengthen  the  capacities  of  115  organisations;  and  one  call  for  proposals  for  the 
deployment of volunteers, with the objective to deploy 250 volunteers. The planning for 2018 deviates for the first time from the 
challenging  target  set  in  the  current  Multiannual  Financial  Framework  (which  foresees  the  deployment  of  more  than  800 
volunteers) and is much more cautious proposing a total operational budget of EUR 19 235 000, which includes EUR 2 500 000 for 
the  training  of  candidate  volunteers  that  was  not  included  in  last  years'  budget.  For  2019,  a  total  budget  of  EUR  19  537  000  is 
proposed.  Capacity  building  and  technical  assistance  funding  will  be  reduced  in  2019  given  that  it  is  intended  to  prepare 
organisations for their certification (implementing the high volunteer management standards under the EU Aid Volunteers initiative 
and  to  get  'fit'  to  participate)  and  many  organisations  have  already  benefitted  from  this  instrument  in  the  first  years  of 
implementation. A large number of organisations should, by 2019, be ready to get certified and participate in deployment projects. 
Funding for deployment will therefore be increased to enable the deployment of a greater number of volunteers 

536 https://ec.europa.eu/echo/funding-evaluations/evaluations/thematic-evaluations_en 
537 SWD(2012) 265 final of 19.09.2012 
538 Regulation 375/2014 of 3.4.2014 
539 Regulation 375/2014 of 3.4.2014, Delegated Regulation 1398 /2014 of 24.10.2014, Implementing Regulation 1244/2014 of 20.11.2014 

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III. Programme key facts and performance framework 
1. Financial programming 

Legal Basis 

Regulation  (EU)  No  375/2014  of  the  European  Parliament  and  of  the  Council  of  3  April  2014 
establishing the European Voluntary Humanitarian Aid Corps (‘EU Aid Volunteers initiative’) 

Period of application 

Reference Amount 
(EUR million) 

2014 - 2020 

147,9 

Operational appropriations 
Executive Agency 
Total 
2. Implementation rates 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

12,1 
0,5 
12,7 

6,6 
0,9 
7,4 

2017 

8,3 
1,0 
9,3 

16,4 
1,0 
17,4 

19,2 
1,1 
20,3 

26,2 
1,3 
27,5 

18,4 
1,2 
19,5 

2018 

Total 
Programme 
107,2 
7,0 
114,2 

Voted appropriations 

17,433 

99,81 % 

17,010 

97,48 % 

20,328 

16,11 % 

16,874 

7,89 % 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

Authorised appropriations (*) 

17,433 

99,81 % 

17,010 

97,48 % 

20,328 

16,11 % 

17,267 

7,71 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

75% of the population aged 20-64 should be employed 
Contribution to Europe 2020 priorities 

Smart growth: part of line 23 04 01 Corresponding to 50% of the output "deployment" under specific objective 1 Inclusive growth: 
part of line 23 04 01 Corresponding to 50% of the output "Training of volunteers and apprenticeships" under specific objective 1. 

Relevant objective/output 

 Smart Growth (innovation, education, digital society) 
 Inclusive Growth (employment and skills, fighting poverty) 
Total 
Contribution to mainstreaming of climate action 

Relevant objective/output 

Budget 2018 
(EUR million) 
4,2 
1,25 
5,45 

DB 2019 
(EUR million) 
4,5 
1,50 
7,0 

Budget 2018 
(EUR million) 

DB 2019 
(EUR million) 

Training, capacity building and deployments will focus amongst other things on disaster 
risk reduction and prevention of climate related disasters. 
The amount earmarked constitutes 20% of total appropriations for the EU Aid Volunteers deployment based on the assumption that 
the whole project cycle  from selection, training and deployment, and 20% of all volunteer placements, are foreseen for activities 
related to disaster risk reduction and prevention. This has been confirmed by experience of pilot projects. 
Total appropriations for deployment in 2018 = EUR 8 400 000; 20% = EUR 1 680 000.  
Total planned appropriations for deployments in 2019 = EUR 9 000 000; 20% = EUR 1 800 000. 

1,68 

1,8 

2014 
0 

2014 – 2016 
2015 
0,3 

2017-2018 estimates 

2016 
1 

2017 
1,1 

2018 
1,68 

2019-2020 programming 
2020 
2019 
2,28 
1,8 

Total 
2014-2020 
9,6 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-2020 
programming period (totals by programme in EUR Million). 
Appropriations for deployment in 2017 = EUR 5 726 880; 20% = EUR 1 145 376 
Appropriations for deployment in 2018 = EUR 8 400 000; 20% = EUR 1 680 000 
Estimated appropriations for deployment in 2019 = EUR 9 000 000; 20% = EUR 1 800 000;  
Estimated appropriations for deployment in 2020 = EUR 11 200 000 (2 projects more than 2018); 20% = EUR 2 280 000.  

Gender mainstreaming 
So far in 2016 and 2017, 72% of the 275 candidate volunteers trained and 73% of the volunteers deployed were female. 

4. Performance information  

General objectives 

General  Objective  1: To  contribute  to  strengthening  the  Union's  capacity  to  provide  needs-based  humanitarian  aid  aimed  at 
preserving life, preventing and alleviating human suffering and maintaining human dignity and to strengthening the capacity and 
resilience of vulnerable or disaster-affected communities in third countries, particularly by means of disaster preparedness, disaster 

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risk reduction and by enhancing the link between relief, rehabilitation and development. That objective shall be attained through the 
added  value  of  joint  contributions  of  EU  Aid  Volunteers,  expressing  the  Union's  values  and  solidarity  with  people  in  need  and 
visibly promoting a sense of European citizenship. 
Indicator 1: The number of people reached by humanitarian aid provided through the EU Aid Volunteers initiative and the average 
costs per person reached 

Baseline 

Number of people reached  

Costs (in EUR) / person 
reached 

2014 
0 

0 
n/a 

0 

Milestones foreseen 

2015 
17 500 

2016 
25 000 

2017 
30 000 

2018 
17 500 

2019 
42 500 

0 
845 

0 

Actual results 
n/a 
716 
Actual results 
n/a 

n/a 
733 

n/a 

1160 

631 

Target 2020 

50 000 

550 

Experience demonstrates that meaningful and reliable data cannot be usefully collected on this indicator. Initial planning and milestone assumed 
that each volunteer deployed would reach in average 50 people. The "number of people reached by the volunteer" is not systematically tracked by 
organisations and no consistent methodology is applied.  In addition, given that the first two deployment projects only end mid-2018, indicative 
numbers could only be provided in 2019.  

Specific objectives 

Specific Objective 1: Contribute to increasing and improving the capacity of the Union to provide humanitarian aid. 
Indicator 1. a) : Number of EU Aid Volunteers trained ready for deployment with the required qualifications per year  

Baseline 

N/A new programme 

2014 
0 

0 

2015 
≥ 350 

0 

Milestones foreseen 

2016 
≥ 350 

2017 
≥ 550 

2018 
≥ 800 

2019 
≥ 1000 

Target 2020 

≥ 1250 

Actual results 
97 

178 

Source:  Monitoring  Framework  for  EUAV  implemented  by  EACEA.    In  the  previous  reporting  period  this  indicator  was  "number  of  EU  Aid 
Volunteers  deployed  or  ready  for  deployment  with  the  required  qualifications".  This  was  mixing  two  different  set  of  data:  the  number  of 
volunteers deployed on the one hand and the number of volunteers ready for deployment on the other hand.  
Volunteers are ready for deployment when they are successfully trained and all volunteers deployed have been previously trained. Each year more 
volunteers are trained than deployed in order to establish a reserve list and replace drop-outs quickly. In order to increase clarity this indicator was 
therefore split into 1. a) Volunteers trained and 1.b). Volunteers deployed.  
Indicator 1. b): Number of of EU Aid Volunteers deployed per year  

Baseline 

N/A new programme 

2014 
0 

0 

2015 
350 

0 

Milestones foreseen 

2016 
350 
Actual results 
44 

2017 
550 

162 

2018 
800 

175 

2019 
1000 

Target 2020 

1125 

Source: Monitoring Framework for EUAV implemented by EACEA. Average duration of a deployment is 9 months (most deployments are either 
6 or 12 months deployments, average is 9 months). 

Indicator 2: Number of EU Aid Volunteers who have completed their contract of deployment 

Baseline 

N/A new programme 

2014 
0 

0 

2015 
315 

0 

Milestones foreseen 

2016 
350 
Actual results 
0 

2017 
550 

N/A 

2018 
800 

2019 
1000 

Target 2020 

1 125 

This indicator reflects the number of  volunteers who stayed the  whole duration of their contract and did not end their deployment earlier than 
planned. If volunteers drop out, organisations can fill the remaining volunteer months with reserve candidates. It is difficult to track in the course 
of a project which volunteers ended their contracts earlier, if other volunteers stayed longer in their placements instead or if reserve volunteers 
were recruited. A full picture would only be available in the final project report –the first two deployment projects end mid-2018.  

Indicator 3:  Number of hosting and sending organisations participating in the EU Aid Volunteers initiative per year.  

Baseline 

Milestones foreseen 

2014 
100 

N/A new programme 

2016 
115 
Actual results 
41 
Source: Planning / target figures from the Annual Work Programmes of EUAV, Monitoring Framework for EUAV implemented by EACEA 
This indicator is proposed for the first time in the present reporting period and intends to reflect the work done in capacity building / technical 
assistance provided to organisations which increases the capacity of the sector to provide humanitarian aid. 

2018 
115 

2017 
110 

2015 
0 

2019 
75 

120  

179 

88 

0 

Target 2020 

Specific Objective 2: Improvement of the skills, knowledge and competences of volunteers in the field of humanitarian aid and the 
terms and conditions of their engagement. 
Indicator 1: The degree of satisfaction of the EU Aid Volunteers trained and deployed, of the sending and hosting organisations 

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with regard to the quality of the training, level of knowledge and competences of volunteers, the fulfilment and adequacy of the 
standards and procedures for management of candidate and EU Aid Volunteers (overall satisfaction rate out of 100%) 

Baseline 

2014 
0 

N/A new programme 

0 

2015 
75 

0 

Milestones foreseen 

2016 
80 
Actual results 
88 

2017 
80 

90 

2018 
85 

2019 
85 

Target 2020 

85 

Source: Monitoring Framework  for EUAV implemented by EACEA / Report from the training provider.The figure provided only  relate to the 
overall satisfaction with the training.  

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Training of volunteers  
Deployment 
Total 
The training commitments for 2019 include the candidate volunteers selected from the 2018 calls and hence the number of volunteers selected for 
deployment in 2018 (250).  

23 04 01 
23 04 01 

Number 
450 
300 
750 

EUR million 
3 
9 
12 

The  300  volunteers  deployed  from  the  2019  budget  will  be  trained  based  on  training  commitments  for  2020.  "Training  of  volunteers"  and 
"Deployment" refer therefore to different batches of volunteers. 

Outputs 

Training of volunteers and apprenticeships 

2014 
0 
0 
0 
0 
Tables cover expenditure related outputs of objectives 1 and 2.  

No of volunteers deployed 

F 
P 
F* 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
1 025 
178 
≥ 550 
162 

2016 
825 
97 
≥ 350 
44 

2018 
300 

2015 
540 
0 
0 
0 

250 

2019 
450 

300 

2020 
600 

400 

The  number  of  volunteers  trained  and  deployed  depends  on  the  applications  received  based  on  a  call  for  proposals  published  annually.  The 
applications received resulted in an underperformance compared to the planned figures. The targets for 2018-2020 have been amended to reflect – 
based on the results of the first two years – more realistic foreseen outputs.  

Justification of changes to the financial programming and/or to the performance information 
Number foreseen outputs for training and deployment were adjusted to reflect potentially achievable targets based on the figures 
from the previous years. 

Specific Objective 3: Building the capacity of hosting organisations and foster volunteering in third countries. 
Indicator 1: Number of third country staff and volunteers participating in the capacity building actions 

Baseline 
2013 

2014 
≥ 1.450 

2015 
≥ 300 

2016 
≥ 700 

2017 
≥ 700 

2018 
≥ 600 

2019 
≥ 550 

Milestones foreseen 

N/A new programme 

0 

0 

Actual results 
n/a 

n/a 

Target 2020 

≥ 550 

In relation to the "number of third country staff and volunteers participating in the capacity building actions": it is difficult to provide these figures 
as they can be provided only for the projects that ended in the respective year and figures do not related to any (annual) target figure. Furthermore, 
projects provide the numbers per project activity but not for the project as a whole which could lead to double counting.  
The indicator "Number of hosting and sending organisations participating in the EU Aid Volunteers initiative per year" under specific objective 1 
will be monitored.  

Expenditure related outputs 

Outputs 

Budget line 

Capacity building and technical assistance 
It is expected that 75 organisations / beneficiaries will benefit from this activity. 

23 04 01 

Draft Budget 2019 

Number 
75 

EUR million 
5,6 

Outputs 

Number of outputs foreseen (F) and produced (P) 

2014 

2015 

2016 

2017 

No  of  organisations  participating  to  capacity 
building and technical assistance actions 

F 

P 

100 

n/a 

n/a 

88 

115 

41 

110 

179 

Tables cover expenditure related outputs of objectives 3 and 5.  
2016: 19 partners receiving funding for capacity building projects, 22 for technical assistance projects. 
2017: 157 partners receiving funding for capacity building projects, 22 for technical assistance projects. 

2018 

115 

2019 

2020 

75 

50 

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Justification of changes to the financial programming and/or to the performance information 
The output “No of participants to capacity building and technical assistance actions” has been  replaced with “No of organisations 
participating to capacity building and technical assistance actions”. Meaningful and reliable data cannot be collected on the number 
of participants. Projects provide some data per project activity but not for the project as a whole which leads to double counting. 

Capacity building and technical assistance funding should phase out at the end of the programme. This type of funding is foreseen 
to  build  the  capacity  of  organisations  to  go  successfully  through  the  certification  process  and  then  to  participate  in  deployment 
activities. 

Specific  Objective  4: Communication  of  the  Union's  humanitarian  aid  principles  as  agreed  in  the  European  Consensus  on 
Humanitarian Aid. 
Indicator 1: Number, type and costs of information, communication and awareness-raising actions 

Baseline 
N/A new programme 

Number of communication 
and awareness-raising 
actions 

Costs per action (in EUR) 

Expenditure related outputs 

2014 
2 

2 
0 

n/a 

Outputs 

2015 
3 

4 
686 234 

Milestones foreseen 

2016 
4 
Actual results 
6 
425 000 

5 
565 000 

Actual results 

171 559 

70 833 

113 000 

2017 
5 

2018 
4 

2019 
4 

365 000 

187 500 

Target 2020 

4 

165 000 

Support measures (Awareness raising events, platform, networking) 

Budget line 

23 04 01 

Draft Budget 2019 

Number 
2 

EUR 
665 000 

Outputs 

information  platform  produced  and 

Overall 
maintained during the programme 

2014 
1 
0 
1 
0 
The two actions to be funded with the budget in 2019 are the maintenance of the IT Platform and a volunteers conference.  
The 2017 figure includes the costs for the external study on the interim evaluation of the initiative which is funded under the support measures 
budget line. This line also includes in each year the costs for the maintenance of the EU Aid Volunteers IT Platform. 

Number of outputs foreseen (F) and produced (P) 
2017 
2 
2 
3 
2 

Awareness raising conference and seminars 

2016 
1 
1 
3 
5 

2015 
1 
0 
2 
2 

2018 
1 

2019 
1 

2020 
1 

F 
P 
F 
P 

3 

3 

3 

Specific  Objective  5: Enhancement  of  coherence  and  consistency  of  volunteering  across  Member  States  in  order  to  improve 
opportunities for Union citizens to participate in humanitarian aid activities and operations. 
Indicator  1: Number  of  newly  certified  sending  organisations  applying  the  standards  and  procedures  for  deployment  and 
management of European volunteers 

Baseline 
2013 

N/A new programme 

2014 
n/a 

n/a 

2015 
50 

13 

Milestones foreseen 

2016 
44 
Actual results 
10 

2017 
15 

13 

2018 
20 

2019 
30 

Target 2020 

10 

Source:  Monitoring  Framework  for  EUAV  implemented  by  EACEA.  The  number  reflects  the  certified  sending  organisations  in  2017 
(additionally, 50 hosting organisations were certified in 2017).  
The  certification  mechanism  is  a  requirement  of  the  legislation.  It  seeks  synergies  with  the  Commission's  partnership  instruments  in  the 
humanitarian  field  and  existing  humanitarian  standards,  with  the  aim  of  administrative  simplification.  The  certification  takes  into  account  the 
important specificities of the programme, notably the management of volunteer staff.  

Expenditure related outputs 

Outputs 

Budget line 

Draft Budget 2019 

Number 
70 

EUR  
50 000 

Proposals evaluations  
Note: the budget also includes the certification of hosting organisations as well as the evaluation of applications for calls for proposals 
(deployment and capacity building / technical assistance). The figure represents therefore the total evaluation costs for all evaluations under the 
initiative. 

23 04 01 

Outputs 

Number of newly certified sending organisations 

2014 
n/a 
n/a 

F 
P 

Number of outputs foreseen (F) and produced (P) 
2017 
15 
13 

2016 
44 
10 

2018 
20 

2015 
50 
13 

2019 
30 

2020 
10 

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Justification of changes to the financial programming and/or to the performance information 

Milestones 2018-2019 and target 2020 have been amended on the  basis  of the experience of the previous  years in order to have 
more realistic figures. It is expected that applications for certification will decline / phase out towards the end of the programme. 

5. Programme contribution to the Sustainable Development Goals 

The EU Aid Volunteers has the potential to contribute to specifically to the following Sustainable Development Goals: 

Goal  1:  End  poverty  in  all  its  forms  everywhere.  Resilience  aims  at  protecting  vulnerable  populations  from  the  shocks  and 
stresses that keep people in poverty,  whilst providing services, livelihoods and opportunities to address the  underlying causes of 
their  vulnerability  –  to  "leave  no-one  behind".  The  EU  Aid  Volunteers  Initiative  works  together  with  volunteers  in  vulnerable 
communities to strengthen their resilience to disasters and to build local capacity. 

Goal 3: Ensure healthy lives and promote well-being for all at all ages Volunteers will work with vulnerable or disaster affected 
communities in fields such as food security and nutrition. 

Goal  5:  Achieve  gender  equality  and  empower  all  women  and  girls  EU  Aid  Volunteers  are  recruited  as  gender  experts  to 
promote  gender  sensitivity  and  mainstreaming  of  gender  considerations  in  disaster  risk  management  in  affected  communities. 
Women are disproportionately affected by disasters. 

Goal  13:  Take  urgent  action  to  combat  climate  change  and  its  impacts  Volunteers  can  be  employed  for  prevention  and 
preparedness  actions  resulting  from  climate  change  risks.  This  could  for  example  include  work  on  risk  assessments,  small 
mitigation works, awareness raising actions or the implementation of early warning systems.  

Goal  17:  Strengthen  Means  of  Implementation  and  revitalise  the  global  partnership  for  sustainable  development  Helping 
people affected by crises and disasters is a global concern and includes coordination at the global level, as essential way to ensure 
efficient  and  effective  provision  of  aid  to  those  that  need  it  most.  The  EU  humanitarian  assistance  includes  working  in  close 
partnership with a large number of humanitarian and development UN and Civil Society international organisations. 

 The EU Aid Volunteers Initiative also works together with volunteers in vulnerable communities to strengthen their resilience to 
disasters  and  to  build  local  capacities.  It  supports  creation  of  national  and  local  volunteering  frameworks  and  schemes  in  third 
countries, which can be instrumental to increase the capacity of countries to cope with disasters as local communities are the first 
responders. 

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HEADING 4: Global Europe 

European Fund for Sustainable Development (EFSD) 
Lead DG: DEVCO 

I. Programme Overview 

What the programme is about ? 

In  the  framework  of  the  External  Investment  Plan  (EIP),  the  European  Commission  has  established  the  European  Fund  for 
Sustainable Development (EFSD)540 to support investments in Africa and the Neighbourhood. The overall aim of the EFSD is to 
contribute to the goals of the United Nations 2030 Agenda for Sustainable Development, in particular poverty eradication, as  well 
as to the commitments under the  recently revised European Neighbourhood Policy. By supporting investments in  Africa and the 
Neighbourhood, the EFSD also aims to address specific socioeconomic root causes of migration, including irregular migration, and 
to contribute to the sustainable reintegration of migrants returning to their countries of origin and to the strengthening of transit and 
host communities.  

The EFSD is managed by the European Commission and implemented through two Regional Investment Platform (i.e. the African 
Investment Platform, AIP, and the Neighbourhood Investment Platform, NIP), which combine financing form the existing external 
blending facilities for Africa and the Neighbourhood with a newly developed EFSD Guarantee. This will enable using scarce public 
resources in an innovative way to mobilise public and private investment, thereby creating growth and employment opportunities, 
maximising additionality, delivering innovative products and crowding-in private sector funds. 

Under the  newly established  EFSD Guarantee, the  Commission  will provide partial guarantees to eligible counterparts,  which in 
turn will provide support to downstream beneficiaries through a wide range of financial instruments, including loans, guarantees, 
counter-guarantees,  capital  market  instruments  and  other  forms  of  credit  enhancement,  insurance,  equity  or  quasi-equity 
participations.  The  EFSD  Guarantee  will  cover  portfolios  of  investments  to  be  implemented  by  eligible  counterparts  in  targeted 
areas, so-called Investment Windows. A first set of Investment Windows541  include: sustainable energy and connectivity; micro, 
small and medium-sized enterprises (MSMEs) financing; sustainable agriculture, rural development and agribusiness; sustainable 
cities; digital for development.   

Investment under the EFSD will be guided by development and sector policies of the beneficiary, and will help foster an enabling 
environment (governance, legislation and regulations) through the  support provided under pillars 2 (Technical  Assistance) and 3 
(enabling the business environment) of the EIP. 

EU added value of the programme 

The  EFSD  is  a  bold  new  approach  to  support  sustainable  and  innovative  investment,  going  beyond  the  classical  development 
assistance and building on the experience of existing blending facilities to maximise additionality, deliver innovative products and 
catalyse  private  sector  investment.  The  new  EFSD  Guarantee,  in  particular,  has  been  conceived  as  a  powerful  financial  tool  to 
stimulate  and  support  investments  in  less  developed  and  riskier  countries  whilst  crowding  in  private  sector  players  in  areas  and 
sectors in which they do not traditionally intervene.  The EUR 1.5 billion EFSD guarantee plus the EUR 2.6 billion of the Africa 
and  Neighbourhood  Investment  Platforms  mobilised  from  existing  cooperation  instruments  are  expected  to  unlock  private 
investment and mobilise an additional EUR 44 billion investment until 2020. The multiplying effect and the impact on the ground 
will thus be much higher than what could be achieved by an investment programme from individual Member States. 

The  operations  financed  or  guaranteed  through  the  EFSD  represent  a  highly  visible  and  effective  tool  in  support  of  the  Union's 
external  action.  In  addition,  by  enabling  joint  operations  –  combining  bilateral  and  EU  grant  funding  with  eligible  finance 
institutions operations – the EFSD will generate greater coherence and better coordination between donors, in line with the Paris 
Declaration's principles on aid effectiveness. The pooling of Member States' resources will reinforce the EU's overall effort, while 
co-financing with non-EU financial institutions will further improve donor coordination and harmonisation. 

II. Programme Update 

Implementation status (2014-2017) 

On 14 September 2016, the Commission presented a proposal for a Regulation of the European Parliament and of the Council on 
the European Fund for Sustainable Development (EFSD) and establishing the EFSD Guarantee and the EFSD Guarantee Fund 542. 
The  proposal  was  based  on  the  Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Central Bank, the European Economic and Social Committee, the Committee of the Regions and the European Investment Bank on 
Strengthening European investments for jobs and growth: Towards a second phase of the European Fund for Strategic Investments 
and a  new European External Investment Plan.543  The  Regulation  establishing  the European Fund  for Sustainable Development 

540 Regulation (EU) No 2017/1601 of the European Parliament and of the Council of 26 September 2017 establishing the European Fund for Sustainable 

Development (EFSD) , the EFSD Guarantee and the EFSD Guarantee Fund 

541 Commission Decision C(2017) 7899 of 23 November 2017 on the establishment of the Investment Windows of the EFSD Guarantee. 
542 COM(2016) 586 final, 14.9.2016.   
543 COM (2016) 581final, 14.09.2016. 

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(EFSD), the EFSD Guarantee and the EFSD Guarantee Fund (hereinafter 'the EFSD Regulation') was adopted by the co-legislators 
on 26 September 2017.544  

Further  to  the  adoption  of  the  above  Regulation,  the  EFSD  has  been  implemented  through  a  series  of  Commission  Decisions 
including:  

C  (2016)  5917  of  14.09.2016  on  the  individual  measure  ʻCreation  of  Africa  Investment  Platformʼ  and  repealing  Decision  C 
(2015) 5210; 

C (2016) 5837 of 14.09.2016 amending Implementing Decision C(2016)3436 final on the Neighbourhood Investment Facility, part 
of the European Neighbourhood wide Action Programme 2016 to be financed from the general budget of the European Union; 

C (2016) 5918 of 14.09.2016 on the  individual measure for a contribution to the EFSD Guarantee Fund to be financed from the 
11th European Development Fund; 

C  (2017)  7693  of  22.11.2017  approving  the  asset  management  guidelines  of  the  guarantee  fund  of  the  European  Fund  for 
Sustainable Development and amending Decision C(2005) 2992 concerning the management of the non-budget financial operations 
of the European Community (EC), the European Atomic Energy Community (Euratom), the European Coal and Steel Community 
(ECSC) in liquidation and subsequently the Assets of the Research Fund for Coal and Steel; 

C(2017)  7899  final  of  23.11.2017  on  the  establishment  of  the  Investment  Windows  of  the  European  Fund  for  Sustainable 
Development Guarantee. 

C (2017) 8590 of 11.12.2017 amending Commission Implementing Decision C(2017)4638 final on the Neighbourhood Investment 
Facility (NIF) and the programme in Support to the Improvement in Governance and Management (SIGMA), part of the European 
Neighbourhood wide Action Programme 2017 to be financed from the general budget of the Union 

C (2017) 8728 of 13.12.2017 on the financing of the Guarantee Fund of the European Fund for Sustainable Development for 2017. 

 Key achievements  

Pursuant  to  Article  9(4)  of  the  EFSD  Regulation,  on  23  November  2017  the  Commission  established  a  first  set  of  Investment 
Windows for the EFSD Guarantee.545 The Decision sets out the objectives of each investment window and, as such, of the support 
by  the  EFSD  Guarantee  to  portfolios  of  investment  to  be  implemented  by  the  eligible  counterparts  in  the  targeted  sectors,  thus 
ensuring alignment with EU development objectives and priorities. The Investment Windows, which were endorsed by the EFSD 
Strategic and Operational Boards, cover five areas:  
  Sustainable Energy and Connectivity;  
  Micro, Small and Medium Sized Enterprises (MSME) Financing;  
  Sustainable Agriculture, Rural Entrepreneurs and Agribusiness;  
  Sustainable Cities;  
 

and Digital for Development. 

Following the establishment of the Investment Windows, eligible counterparts were invited to propose investment programmes to 
be covered by the EFSD Guarantee. Proposals – to be submitted by 31/01/2018 for the Sustainable Energy and Connectivity and 
the MSME Financing windows, and by 31/03/2018 for the remaining three windows  – shall be assessed by the Commission and 
specifically assigned experts. Based on this assessment, a number of selected financial institutions will be entrusted with managing 
investment  programmes.  These  will  have  to  demonstrate  their  added  value  in  relation  to  existing  operations  and  show  a 
demonstrable  effect  on  the  development  objectives  stipulated  by  the  EFSD  Regulation.  The  first  agreements  with  the  financial 
institutions are expected to be signed in 2018. 

The response to the invitation to submit proposals for the first two Investment Windows – i.e. Sustainable Energy and Connectivity 
and the MSME Financing – was very positive. The Commission received 30 proposals from 12 partner institutions for a total value 
above EUR 2.5 billion, thus exceeding the current entire capacity of the EFSD Guarantee by over EUR 1 billion. 

Evaluations/studies conducted 

The  ex-ante  assessment  of  the  EFSD  Guarantee  recognised  the  role  of  the  Guarantee  as  a  complementary  tool  to  the  grant  and 
blending facilities already provided by the EU. It also valued the emphasis placed on portfolio guarantees as well as the potential to 
leverage financial institution funding through guaranteeing partially their risks, including above and over the more traditional pari 
passu guarantees. The assessment commended instruments such as first or second loss partial portfolio guarantees, guarantee on the 
junior  debt  of  infrastructure  projects,  as  well  as  junior  portion  of  bond  issues.  Optimised  pricing  of  the  guarantees  against  the 
market  pricing  and  the  expectations  of  the  beneficiaries  is  of  importance  to  avoid  moral  hazard,  dead  weight  effect  and  market 
distortion.  

The  proposed  amount  of  guarantee  available,  estimated  at  about  2%  of  the  estimated  financing  gaps  for  Sub-Saharan  and 
Neighbourhood  Partner  countries,  depending  on  either  infrastructure  financing  or  access  to  finance  requirements  of  MSMEs, 

544 Regulation (EU) No 2017/1601 of the European Parliament and of the Council of 26 September 2017 establishing the European Fund for Sustainable 
Development (EFSD), the EFSD Guarantee and the EFSD Guarantee Fund 
545 COM(2017) 7899 final, 23.11.2017. 

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appears significant. It could be all the more so if the instrument is restricted in a first stage to a few emerging countries or sectors. 
Should the restrictions be too narrow, the absorption capacity in these environments might become an issue. 

The assessment supported the implementation of the EFSD Guarantee  facility through a number of eligible lead partners, under a 
framework similar to the Blending Investment Facilities. New private sector lead partners should be attracted to the implementation 
of  the  Guarantee,  including  local  and  international  financial  institutions,  as  well  as  insurance  and  re-insurance  companies  and 
investments  funds  (while  the  latter  might  require  further  study  as  to  their  potential  for  leveraging  the  guarantees  and  market 
distortion). 

The EFSD Guarantee is still at a very early stage of implementation and it is , therefore, not be possible to carry out a meaningful 
assessment of its performance at this point in time. 

Forthcoming implementation (2018-2019) 

Based on the assessment by the Commission and independent experts of proposals submitted by the eligible counterparts during the 
first  half  of  2018,  a  number  of  selected  financial  institutions  will  be  entrusted  with  managing  investment  programmes.  The  first 
agreements with the financial institutions are expected to be signed before the end of 2018. 

Pursuant to Article 8 of the EFSD Regulation, the investment period, during which guarantee agreements for supporting investment 
programmes can be concluded with the eligible counterparts, will last until 31 December 2020. Eligible counterparts subsequently 
have four years to utilise the guarantee, which should generally not exceed a duration of fifteen years. 

III. Programme key facts and performance framework 

1. Financial programming 

Legal Basis 

Regulation (EU) 2017/1601 of  the European Parliament and of the Council establishing the European 
Fund for Sustainable Development (EFSD), the EFSD Guarantee and the EFSD Guarantee Fund 

Period of 
application 

Reference Amount 
(EUR million) 

2017 - 2020 

350,0 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

275,0 
275,0 

25,0 
25,0 

25,0 
25,0 

25,0 
25,0 

Total 
Programme 
350,0 
350,0 

Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

275,000 

100,00 % 

275,000 

0,00 % 

25,000 

0,00 % 

25,000 

0,00 % 

Authorised appropriations (*) 

575,000 

47,83 % 

575,000 

0,00 % 

300,109 

49,98 % 

575,109 

0,00 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and  external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 
In  order  to  fulfil  the  political  commitments  of  the  EU  on  climate  action,  renewable  energy  and  resource  efficiency,  a  minimum 
share of 28% of the funding allocated under the EFSD should be devoted to financing and investment operations relevant for these 
sectors. 

Gender mainstreaming 
In the framework of the EIP, the EFSD will support the promotion of gender equality and the empowerment of women and young 
people. 

4. Performance information 

General objectives 

General Objective 1: The EFSD shall contribute to the achievement of  the Sustainable Development Goals of the 2030 Agenda 
with a particular focus on sustainable growth, job creation, socio-economic sectors and on the support to micro, small and medium 
sized enterprises, thus addressing root causes of migration and contributing to sustainable reintegration of returned migrants in their 
countries of origin while maximising additionality, delivering innovative products and crowding in private sector funds. 

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Specific objectives 

Specific  Objective  1: The  purpose  of  the  EFSD  as  an  integrated  financial  package  shall  be  to  support  through  the  supply  of 
financing  capacity  in  the  form  of  grants,  guarantees  and  other  financial  instruments  to  eligible  counterparts  investments  and 
increased access to financing starting in African and Neighbourhood partner countries. 

Expenditure related outputs 

Provisioning of the EFSD Guarantee Fund 

Outputs 

Budget line 

01 03 08 

Draft Budget 2019 
EUR million 
25 

In addition, a contribution of EUR 50 million from the European Development Fund in the form of assigned revenue is foreseen in 
2019.  With  the  ambitious  development  goals  set  for  the  External  Investment  Plan  and  through  the  EFSD  in  particular,  the 
Commission  shall  be  able  to  monitor  and  evaluate  the  direct  contribution  (output  level)  and  the  direct  (outcome)  and  indirect, 
medium-long term influence (impact) of operations supported by the EFSD against the main objectives of the initiative.  

The contribution of the EFSD to sustainable and inclusive growth in partner countries will be measured against the objectives set 
by the EFSD Regulation with a series of outcome and impact indicators in relation to: 

•  Contribution to the achievement of Sustainable Development Goals 
•  Generation of sustainable and inclusive growth 
•  Creation of decent jobs 
• 
Promoting gender equality and the empowerment of women and young people 
• 
Positively impact on climate change 
•  Contributing to poverty eradication 
•  Addressing root causes of (irregular) migration, fostering sustainable reintegration of migrants returning to their countries 

of origin, and strengthening transit and host communities. 

The Commission is in the process of establishing the Results Measurement Framework for the EFSD, based on the existing result 
measurement  framework  used for blending operations as  well as a new  scheme to be used for the EFSD and its  guarantee. This 
Results Measurement Framework and the indicators established therein will be  used to monitor the implementation of the EFSD 
and report on the result of supported operations. The Result Measurement Framework will cover three levels: (1) the EFSD as a 
whole, including both the EFSD guarantee and the blending operations; (2) the Investment Windows and Investment Platforms; (3) 
the  Proposed  Investment  Programmes  (PIPs)  under  the  EFSD  Guarantee  and  the  projects  under  the  normal  blending  operations.  
The Commission will be responsible for monitoring and reporting under the first two levels, based on a set of agreed indicators. At 
PIP  and  project  level,  the  reporting  on  expected  and  actual  operational  results  will  be  the  responsibility  of  the  lead  eligible 
counterpart.  The  list  of  indicators,  the  frequency  and  format  of  reporting  will  be  part  of  the  contracts  signed  with  the  eligible 
counterparts. The Commission expects to finalise the list of indicators for the EFSD by mid-2018. 

5. Programme contribution to the Sustainable Development Goals 

As provided by Article 3 of the EFSD Regulation, the purpose of the EFSD is to contribute to the achievement of the Sustainable 
Development Goals of the 2030 Agenda on sustainable development,546 in particular poverty eradication, thus addressing specific 
socioeconomic root causes of  migration and  fostering sustainable reintegration of  migrants returning  to their countries of origin, 
and strengthening transit and host communities. Because of its breadth, the EFSD can contribute to a broad range of SDGs, often in 
an interlinked manner and with multiple benefits across goals.  

Moreover, the financing and investment operations eligible for support through the EFSD Guarantee shall contribute, inter alia, to 
fostering  sustainable  development  in  its  economic,  social  and  environmental  dimensions,  and  to  the  implementation  of  the  2030 
Agenda,  the  European  Consensus  on  Development547  and,  where  appropriate,  the  European  Neighbourhood  Policy,  with  a 
particular focus on  the eradication of poverty, inclusive and sustainable  growth, decent  job creation,  skills and entrepreneurship, 
gender equality and the empowerment of women and young people, socio-economic sectors and on the support to micro, small and 
medium sized enterprises, while pursuing and strengthening the rule of law, good governance and human rights,  while maximising 
additionality, delivering innovative products and crowding in private sector funds. 

546 United Nations General Assembly, "Transforming our world: the 2030 Agenda for Sustainable Development" (A/69/L.85).  
547 "The new European Consensus on Development: Our World, Our Dignity, Our Future". Joint statement by the Council and the representatives of the 
governments of the Member States meeting within the Council, the European Parliament and the Commission (OJEU C 210/1, 30.6.2017). 

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HEADING 4: Global Europe 

Cooperation with Greenland 
Lead DG: DEVCO 

I. Programme Overview 

What the programme is about? 

Located between the North Atlantic and Arctic Ocean, Greenland is the world's largest island. It is an autonomous territory within 
the Kingdom of Denmark and is the only Danish territory associated to the EU. Between 1973 and 1985, Greenland was part of the 
EU.  Following  a  referendum  held  in  1982,  it  withdrew  from  the  EU  and  is  now  associated  to  the  EU  under  the  Overseas 
Association Decision. Greenland is eligible for funding from the EU’s general budget through the EU-Greenland Partnership. This 
has allowed for the continuation of strong relations between the partners and responds to the global challenges, allowing for the 
development  of  a  proactive  agenda  and  the  pursuit  of  mutual  interests.  The  partnership  defines,  in  particular,  the  framework  for 
policy dialogue on issues of common interest in areas such as (i) global issues concerning, inter alia, energy, climate change and 
environment, natural resources, including raw materials, maritime transport, research and innovation and (ii) Arctic issues. 

Following the Council Decision 2014/137/EU of 14 March 2014 on relations between the European Union on the one hand, and 
Greenland  and  the  Kingdom  of  Denmark  on  the  other,  the  Commission  agreed  with  the  Government  of  Greenland  the 
"Programming document  for the  sustainable development  of Greenland 2014-2020"  which  was  signed on 28 October  2014. The 
education, vocational training and post-elementary school system has been chosen as the concentration sector for the cooperation 
between the Union and Greenland for the period 2014-2020. The two specific objectives and indicators follow those identified in 
the Council decision, complemented by indicators on education, taken from the programming document. 

The  EU  provides  financial  support  to  the  Greenland  Education  Sector  through  the  implementation  of  a  budget-support  Sector 
Reform  Contract.  The  overall  objective  of  the  new  programme  adopted  in  2014  is  to  contribute  to  a  higher  standard  of  living 
through improved education, skills development and knowledge. This will ensure Greenland’s continuous economic progress in the 
increasingly  globalised  world  economy  through  provision  of  a  critical  mass  of  qualified,  flexible  people  and  a  competitive 
workforce. Increased productivity in the working age population will reduce the growing pressure on the public finances resulting 
from the growing share of elderly people in the population. Furthermore, a highly educated and skilled labour force will reduce the 
economic dependence on single sectors and is a prerequisite for development and inclusive growth in emerging sectors. 

EU added value of the programme 

The EU-Greenland partnership has allowed for the continuation of strong relations between the partners and responds to the global 
challenges,  allowing  for  the  development  of  a  proactive  agenda  and  the  pursuit  of  mutual  interests.  The  partnership  defines,  in 
particular,  the  framework  for  policy  dialogue  on  issues  of  common  interest  for  either  partner,  providing  the  basis  for  broad 
cooperation and dialogue in areas such as (i) global issues concerning, inter alia, energy, climate change and environment, natural 
resources, including raw materials, maritime transport, research and innovation and (ii) Arctic issues. 

As the framework for relations and dialogue with Greenland, the Greenland Decision remains relevant. Informal dialogue on e.g. 
the Arctic, high-level visits and cooperation in several fora have helped create a mutual understanding between the partners  – the 
EU has gained a better understanding of the conditions in the Arctic, enabling it to better formulate relevant actions and policies, 
while Greenland supports the EU's application for an observer seat in the Arctic Council. 

As  the  EU  is  the  only  donor  besides  the  Kingdom  of  Denmark,  the  support  allocated  through  the  partnership  brings  an  EU 
perspective to the development of Greenland. The conditions attached to EU Budget Support have strengthened Greenland's Public 
Financial Management system and the ability of its administration to plan and implement policies, including in sectors other than 
education (several ministries have begun to make 10-year plans). The conditions have also stimulated the government of Greenland 
to maintain the expenditures for education at a very high level of on average 25% of the Public sector budget, amounting to EUR 
300  million  per  year  of  which  this  programme  contributes  around  EUR  30  million  per  year.  This  conditionality  is  the  crucial 
difference compared to the Danish block grant, which does not impose performance indicators. 

Greenlanders enjoy the citizenship of the Member State to which they are constitutionally linked (Denmark), and subsequently hold 
EU  citizenship,  making  for  the  corresponding  parts  of  the  Treaty  to  apply  to  them.  The  EU  support  strengthens  the  position  of 
Greenland as an advanced outpost of the EU, based on the common values and history which links the two partners. 

II. Programme Update 

Following the Council Decision 2014/137/EU of 14 March 2014 on relations between the European Union on the one hand, and 
Greenland  and  the  Kingdom  of  Denmark  on  the  other,  the  Commission  agreed  with  the  Government  of  Greenland  the 
"Programming document  for the  sustainable development  of Greenland 2014-2020"  which  was  signed on 28 October  2014. The 
objectives  and  indicators  follow  those  in  the  Council  decision,  complemented  by  indicators  on  education,  taken  from  the 
programming document. 

Implementation Status (2014-2017) 

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After  Financing  Agreements  for  2014,  2015  and  2016,  the  Financing  Agreement  for  the  2017  budget  was  signed  with  the 
Government of Greenland on 01 June 2017 (GL(2017/038-941). The Annual Work Plan 2017 was presented by the Government of 
Greenland and approved. Subsequently, the fixed tranche for the 2017 programme was paid in December 2017. 
The Annual Implementation Report 2016 was received from the Government of Greenland providing adequate proof of programme 
implementation. The achievement rate was higher compared to the previous year, although one target out of five indicators was not 
met and one target only partially met (Transition rate to education 2 years after drop-out and Transition rate to education 1 year 
after elementary school respectively).  The variable tranche 2016 was paid in December 2017 amounting to EUR 4.6 million (74% 
of the total foreseen).  During the latest Policy Dialogue Meeting in March 2018, the Government of Greenland and representatives 
of  Greenland  municipalities  showed  the  further  implementation  of  reforms  in  the  Elementary  School  system  improving  the 
management skills of school directors and skills upgrading of existing teachers. In addition and after an evaluation of the Teacher 
Training College, the Government presented the implementation of reforms in the Teachers Education in order to align it with  the 
reforms of the Elementary Schools. Also the draft of the Public Finance Management Reform Plan 2018-2020, a key element for 
Greenland to maintain its eligibility for budget support, was agreed with the Ministry of finance of the Government of Greenland. 

Three Policy Dialog Meetings were held - one in Greenland (22-24 August 2017 in Nuuk) and two in Brussels ( 6-8 February 2017, 
and 6-8 March 2018). For each meeting an Aid-Memoire was signed between the Government of Greenland and the Commission 
detailing the main points discussed and conclusions reached. 

Key achievements  

Whereas  Greenland  Education  Programme  phase  1  (2007-2013)  resulted  in  an  increased  capacity  of  the  education  system  and  a 
related improved general access to education, the emphasis during phase 2 (period 2014 – 2020) is on:  

 
 
 
 

 

increasing initiatives to reduce the dropout rate, including in vocational education and training (VET),  
improving the quality of the education system, 
the ability of the system to accommodate and include students who are in need of special attention, 
improvements in the transitions between different stages in the education system; 

o 
o 

from elementary school to high school from 35.4% in 2013 to 38.o% in 2016 and targeted at 48% in 2020 
from high school to higher education from 64.1% in 2013 to 49.5% in 2016 and targeted at 72% in 2020 
reducing the number of the 16 – 18 year olds outside the education system from 61.6% in 2013 to 56.5% in 2016 and  to 
40% in 2020. 

In  the  Annual  Implementation  Report  2016  the  performance  of  the  Greenland  Education  Programme  II  is  measured  against  an 
agreed set of indicators. Targets for these indicators were set in the Annual Work Plan 2016. 

The  indicators  for  the  variable  tranche  payment  for  the  Financing  Agreement  2016  are  shown  in  the  table  below  with  baseline 
values from 2013, targets and results for 2016 and weights used for the calculation. 

Table: Variable tranche indicators 

No. 

EU3 

EU4 

EU8 

EU11 

EU13 

Indicator 

7th grade test 
Transition rate to education 1 year after 
elementary school  
Number of completions 
Transition rate to education 2 years after 
drop-out 
Expenditure on education as percentage 
of total public expenditure*** 
Tranche 

Weight 
2016 
0.20 

Baseline 
2013548 
56.25 

Target 
2016 
56.25 

Result 
2016 
58.75 

35.4 % 

39 % 

38.0 % 

968 

1050 

1093 

0.20 

0.20 

0.20 

Target 
2020 
63.00 

48% 

1110 

TA 

1 

CT 

0.2000 

0.7222 

0.1444 

1.5244 

0.2000 

41.4 % 

44.5 % 

38.2 % 

50.0% 

1.0323 

0.0000 

0.20 

25.8 % 

25 % 

25.4 % 

25.0% 

1.0142 

0.2000 

1.00 

0.7444 

* Target achievement in relation to baseline TA*** = (R-B)/(T-B) 
** Contribution to tranche release CT*** = TA x W 
*** If the target achievement is above 100% for a specific target, the figure of 100% will be used to calculate the amount to be released 

Evaluations/Studies conducted 

The Mid-Term Review Report of the External Financing Instruments, which includes the Greenland Decision, was published by the 
Commission  on  15  December  2017  and  submitted  to  the  Council  and  the  European  Parliament  as  required  by  Article  17  of  the 
Common Implementation Regulation549. Accompanying this report is a Commission Staff Working Document; "Evaluation of the 
Council Decision on relations between the European Union, on the one hand, and Greenland and the Kingdom of Denmark on the 
other (Greenland Decision)" has also been published550.  

In  the  Mid-Term  Review  concludes  that  the  External  Financing  Instruments  including  the  Greenland  Decision  are  at  this  time, 
generally fit for purpose and positive trends are emerging in relation to the instruments' objectives. However, limited resources and 

548 The baseline 2013 values were amended for some indicators by letter of 9.11.2015 Ares(2015)4939504  
549 https://ec.europa.eu/europeaid/sites/devco/files/mid-term-review-report_en.pdf 
550 https://ec.europa.eu/europeaid/sites/devco/files/swd-mid-term-review-greenland_en_0.pdf 

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financial flexibility, combined with a  multiplication of crises,  have stretched the instruments to their limits. Looking towards the 
future, the next generation of instruments will need to take into account the level of financial and other forms of flexibility needed 
for external action in order to respond to the challenges faced by the EU on the world stage. 

The Staff Working Document on the Greenland Decision concludes that the Decision continues to be relevant as the framework for 
relations  with  Greenland  and  confirms  that  it  provides  a  sufficiently  wide  platform  for  pursuing  dialogue  on  emerging  issues  of 
mutual interest. The main objective of the Greenland Decision is preserving the close and lasting links between the parties while 
supporting the sustainable development in Greenland. This has been and is being achieved through close cooperation on education 
and Public Financial Management – and through political dialogue on e.g. the Arctic. 

The  choice  to  focus  on  education  in  the  Cooperation  with  Greenland  has  been  appropriate  considering  that  this  sector  addresses 
beneficiaries' needs as it is seen as the most relevant growth parameter for prosperity and societal development and is furthermore 
fully consistent with EU policy priorities regarding the role of education in development as reflected in the Agenda for Change and 
Sustainable  Development  Goals.  Even  if  the  economic  impact  of  this  choice  is  necessarily  long-term  and  thus,  not  immediately 
visible, this partnership has been effective in contributing to sustainable development in Greenland. Continued progress evidenced 
by the achievement of the instrument indicators of the Greenland Decision shows promise in the long-term e.g. opening of mines 
and the rising educational level. This is very much a result of the strong political drive of the Government of Greenland but also 
due  to  the  Commission's  flexibility  in  implementing  this  cooperation  by  taking  into  account  the  particular  specificities  of 
Greenland.  The  strong  partnership  and  cooperation  with  the  EU  has  enabled  Greenland  to  increase  capacity-building,  develop 
stronger governing and financial systems, strengthen its education system and thereby its workforce. 

The  Greenland  Decision  has  been  designed  in  such  a  way  as  to  cover  and  better  deliver  on  the  wider  political  aims  of  the 
partnership  –  and  as  such  the  Greenland  Decision,  and  the  Cooperation  with  Greenland  remains  fit  for  purpose  to  continue  to 
deliver on its objectives towards 2020. 

Forthcoming implementation (2018-2019)  

For  2018  one  of  the  main  priorities  will  continue  to  be  the  improvement  of  elementary  schools,  which  continues  through  the 
education  and  up-skilling  of  school  staff,  on  the  basis  of  recommendations  of  the  external  evaluation  of  the  elementary  school 
system reported in 2015. Furthermore, based on the external evaluation of the  Teacher Training Education reported in 2016, the 
overall  curriculum  will  continue  to  be  improved  and  brought  in  line  with  the  reforms  in  the  elementary  schools.  Lastly,  the  EU 
funded study on dropout from vocational education and training programmes in 2014, examining the causes of and solutions to the 
substantial dropout rates from these programmes provided recommendations for each school, as well as overall recommendations 
for central policy making. The recommendations have mostly been adopted and are being implemented. 

III. Programme key facts and performance framework 

1. Financial programming 

Council  Decision 2014/137/EU of  14  March 2014  on  relations  between  the  European 
Union on the one hand, and Greenland and the Kingdom of Denmark on the other 

2014 - 2020 

217,8 

Legal Basis 

Period of application 

Reference Amount 
(EUR million) 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

0,2 
24,6 
24,8 

0,2 
30,7 
30,9 

0,2 
31,1 
31,4 

0,3 
31,6 
31,9 

0,3 
32,1 
32,4 

0,3 
32,6 
32,9 

0,3 
33,2 
33,5 

Total 
Programme 
1,8 
216,0 
217,8 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

31,884 

99,99 % 

30,475 

98,39 % 

32,395 

0,23 % 

32,323 

0,17 % 

Authorised appropriations (*) 

31,884 

99,99 % 

30,588 

98,40 % 

32,395 

0,23 % 

32,527 

0,43 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned  revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to mainstreaming of climate action 

EU support for the sustainable development of Greenland* 

Relevant objective/output 

Budget 2018 
(EUR million) 
7.2 

DB 2019 
(EUR million) 
7.5 

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*This  contribution  is  calculated  each  budget  year  following  the  same  methodology  and  based  for  DB2019  on  the  following 
assumptions: 
- 

that  around  51%  of  the  overall  Greenland  Education  Programme  II  Budget  is  spent  on  building    equivalent  to  EUR 14.99 
million in the budget year (2016 is reference year for DB2019), 
that the current EU programme contributes 100% to the overall budget of the GEP,  
that the EU contribution allows the heavy investments in the school buildings and housing (dormitories) 
that most building activity under the GEP replaces old school buildings and especially old dormitories that the new buildings 
are 50% more energy efficient. 

- 
- 
- 

2014 
6.0 

2014 – 2016 
2015 
5.9 

2017-2018 estimates 

2016 
6.8 

2017 
6.9 

2018 
7.2 

2019-2020 programming 
2020 
2019 
7.5 
7.5 

Total 
2014-2020 
47.8 

Consolidated  and  updated  comparable  information  for  the  annual  expenditures  adopted,  estimated  or  programmed  for  the  2014-
2020 programming period (totals by programme in EUR Million). 

Budget 2018 
(EUR Million) 

DB 2019 
(EUR Million) 

3.4 

8.9 

Gender mainstreaming 

Relevant objective/output 

EU support for the human development of Greenland* 
*This contribution is based on the following assumptions: 
 
 

around 50% of the children attending elementary school are female, 
61% of the children completing further education are female (for 2016, female completion in high school, VET and higher education were 
respectively 65.3%, 50.5% and 78.0%), 
therefore overall 56% of the children benefitting from education in Greenland are female  
around 49% of the overall Greenland Education Programme II Budget is spent on non-building activity equivalent to EUR 14.55 million, 
the current EU programme contributes 100% of the overall budget of the GEP II. 

 
 
 

4. Performance information 

General objectives 

General  Objective  1: The  EU/Greenland  partnership  aims  to  preserve  the  close  and  lasting  links  between  the  partners,  while 
supporting the sustainable development of the Greenlandic society. 
Indicator 1: Percentage of trade balance in GDP 

Baseline 
2012 

-16.1% 

2014 
-16.1% 

2015 
-16.1% 

2016 
-16.1% 

2017 
-16.1% 

2018 
-15.5% 

2019 
-15.5% 

Milestones foreseen 

-13.7% 

-9.6%* 

-11.7% 

Actual results 

Target 2020 

-15% 

No significant change in the trade balance for 2018 is forecasted as only 2 small new mining activities have started up during 2017 and 2018. The 
baseline and targets 2017 and 2020 have been recalculated by Statistics Greenland due to a change of methodology on their side. 
*Source:  Statistics  Greenland;  www.stat.gl,  data  have  been  extracted  from  the  Greenland  Figures  2017  (pamphlet  provided  by  the  Statistical 
Bureau of Greenland on an annual basis). 

Specific objectives 

Specific  Objective  1: To  support  and  cooperate  with  Greenland  in  addressing  its  major  challenges  in  particular  the  sustainable 
diversification of the economy, the need to increase the skills of its labour force, including scientists, and the need to improve the 
Greenlandic information systems in the field of Information and Communication Technologies. 
Indicator 1: Completion rate at high school, VET and higher education 

Baseline 
2013 

51.1% 

2014 

2015 

2016 

2017 
54% 

2018 

2019 

Milestones foreseen 

48.9% 

49.3% 

51.62% 

Actual results 

Indicator 2: Share of age group outside education system 

2014 

2015 

2016 

2017 
57% 

2018 

2019 

Milestones foreseen 

59.0% 
Indicator 3: Percentage of fisheries in total exports 

63.5% 

Actual results 

56.5% 

Milestones foreseen 

Baseline 
2013 

61.6% 

Baseline 
2013 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020 

60% 

Target 2020 

40% 

Target 2020 

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89.8% 

91% 

91% 
Actual results 

91% 

89% 

83% 

91% 

89.4% 

87.4% 

No  significant  change  in  the percentage  of  fisheries  in  total  exports  for  2014  to  2016  was  realised  as  no new  mining  activities  were  operating 
during those years. It is forecasted that 2 small mines will be operating in 2018 and 2019, with however only a small economic effect on exports 
due to their small size. In fact, recent developments show that fisheries will maintain its leading position in the economy and its share will only 
slowly decrease in the following years.  
Source:  Statistics  Greenland;  www.stat.gl,  data  have  been  extracted  from  the  Greenland  Figures  2017  (pamphlet  provided  by  the  Statistical 
Bureau of Greenland on an annual basis). 

Expenditure related outputs 

Outputs 

Support to the Greenland Education Programme Phase II 

Outputs 

Support to the Greenland Education Programme 
Phase II 

F 
P 

2014 
1 
1 

Budget line 

21 07 01 

Draft Budget 2019 

Number 
1 

EUR million 
32.64 

Number of outputs foreseen (F) and produced (P) 
2017 
1 
1 

2016 
1 
1 

2018 
1 

2015 
1 
1 

2019 
1 

2020 
1 

Specific  Objective  2: To  contribute  to  the  capacity  of  the  Greenlandic  administration  to  formulating  and  implementing  national 
policies in particular in new areas of mutual interest as identified in the PDSD referred to in Article 4(1). 
Indicator 1: Number of administrative staff completing training (participant days) 

Baseline 
2013 

1350 

2014 

2015 

2016 

2017 
1500 

2018 

2019 

Milestones foreseen 

1484 

1467 

1972 

Actual results 

Indicator 2: Percentage of civil servants that are (long-term) residents in Greenland 

Baseline 
2013 

87.2% 

2014 

2015 

2016 

2017 

2018 

2019 

Milestones foreseen 

87.8% 

88.0% 

87.7%* 

Actual results 

Target 2020 

1500 

Target 2020 

No target set by the 
government since it 
depends on external 
factors  

The  definitions  of  the  2  indicators  were  changed  following  the  signature  of  the  Programming  Document  for  the  Sustainable 
Development of Greenland (C(2014)6775) on 28/10/2014, leading to modification of the baselines.  
Indicator 2 measures the civil servants with at least 5 years of residence in Greenland and the short term residents which were born 
in Greenland. Milestones and targets for indicator 2 have not been established as no specific support programme has been identified 
that influences this indicator directly. However, with a better educated population this indicator is indirectly influenced by the EU 
support  to  the  education  sector  under  Specific  Objective  1.  Data  on  this  indicator  are  monitored  and  provided  by  Statistics 
Greenland. 

Expenditure related outputs 
Activities related to this objective are financed by the Government of Greenland directly without requiring support from the  EU. 
Therefore there are no EU expenditures for this Specific Objective 2. 

5. Programme contribution to the Sustainable Development Goals 

The  EU  support  to  Greenland  aims  entirely  at  the  Education  Programme  which  contributes  directly  to  the  SDG4  and  SDG5  as 
expressed in its specific objectives: 
1. Reduced inequality in education by ensuring a well-functioning pre-school and elementary school system, no matter where the 
children live. The elementary school system shall provide  elementary school graduates with the skills needed for them to pursue 
further education 
2.  Increased  quality  of  the  education  system  with  special  emphasis  on  pre-school  and  elementary  school  and  increased  share  of 
educated personnel in the system 
3. Increased efficiency in the education system through reduced drop-out between stages in the system, increased completion in the 
post-elementary education system and a decrease in the time spent in the education system before graduation. 
The  overall  objective  of  the  programme  (“to  contribute  to  a  higher  standard  of  living  through  improved  education,  skills 
development and knowledge”) contributes to SDG10, especially in reducing the inequality within the country. 

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HEADING 4: Global Europe 

Financial Statement for the Macro Financial Assistance (MFA) 
Lead DG: ECFIN 

I. Programme Overview 

What the programme is about? 

Macro-financial assistance (MFA) is a form of financial aid extended by the EU to partner countries experiencing a balance of 
payments crisis. It takes the form of medium/long-term loans or grants, or a combination of these, and is only available to countries 
benefiting from a disbursing International Monetary Fund programme. MFA is designed for countries geographically, economically 
and politically close to the EU. These include candidate and potential candidate countries, countries bordering the EU covered by 
the European Neighbourhood Policy (ENP) and, in certain circumstances, other third countries. 

EU added value of the programme 

The financial assistance provided under MFA operations and the policy measures attached to them aim at supporting the EU agenda 
vis-à-vis  the  recipient  countries,  notably  by  promoting  macroeconomic  and  political  stability  in  the  EU’s  neighbourhood.  The 
policy  measures  associated  with  MFA  cover  selected  provisions  related,  where  applicable,  to  the  accession-related  agreements, 
Stabilisation  and  Association  Agreements,  Association  Agreements,  Partnership  and  Cooperation  Agreements  and  European 
Neighbourhood  Policy  Action  Plans  or  equivalent  documents.  They  also  cover  other  conditions  aimed  at  fostering  a  sustainable 
balance of payments and budgetary position, raising potential growth, promoting integration and regulatory convergence with the 
EU and strengthening public finance management. 

MFA  complements  EU  assistance  under  the  "programmed"  instruments  (e.g.  IPA,  ENI)  and  maximises  its  effectiveness  by 
alleviating the risks of disruption of the regular EU cooperation framework whilst at the same time laying the basis for structural 
change and sustainable economic and social development of the beneficiary countries. MFA is also complementary to the other EU 
crisis response mechanisms (e.g. the Instrument for Stability and humanitarian aid) and EIB lending. 

When using loans, MFA operations increase the effectiveness of the EU budget through the leverage effect. MFA operations allow 
the EU as a whole to bundle financial resources and negotiate  with recipient countries on modalities of the assistance and policy 
conditions as a unified actor. By complementing the resources made available by the IFIs and other donors, EU MFA contributes to 
the overall effectiveness of the financial support agreed by the international donor community. 

II. Programme Update 

Implementation Status (2017) 

During the course of 2017, the Commission made important progress in the implementation of a number of MFA operations. These 
include: 

(a) three MFA operations which have been completed in 2017:   
  Georgia  I  (EUR  46  million,  including  EUR  23  million  in  grants).  The  MFA  decision  for  Georgia  was  adopted  by  the  co-
legislators in August 2013. The disbursement of the first grant element (EUR 13 million) was done in January 2015, and the 
first loan element (EUR 10 million) was disbursed in April 2015. The disbursement of the second and last tranche of EUR 23 
million (EUR 13 million in grants and EUR 10 million in loans) took place in May 2017 

  Tunisia I (EUR 300 million in loans). The MFA Decision for Tunisia was adopted in May 2014. The first two tranches (EUR 
100 million each) were disbursed respectively in May and December 2015. The third and last tranche (EUR 100 million) was 
disbursed in July 2017. 

  Ukraine III. (EUR 1.8 billion in loans). The MFA Decision for Ukraine III was adopted in April 2015. The first tranche (EUR 
600  million)  was  disbursed  in  July  2015.  The  second  tranche  was  disbursed  in  April  2017;  the  third  and  last  tranche  was 
cancelled when the availability period of the MFA expired in January 2018. 

 (b) two MFA operations for which the Commission's legislative proposals were adopted by the co-legislators in 2016 and have not 
been (fully) implemented yet:  
 

Jordan II (EUR  200  million, in loans). The  MFA  Decision  for  Jordan II  was adopted in  December 2016. The first tranche 
(EUR  100  million)  was  disbursed  in  October  2017. The  disbursement  of  the  second  and  last  tranche  is  foreseen  in  the  first 
quarter of 2018, provided that the IMF programme is on track and the necessary conditions have been met. 

  Tunisia II (EUR 500 million in loans). The MFA Decision was adopted by the co-legislators in July 2016. The first tranche of 
EUR 200 million was disbursed in October 2017. The disbursement of the second tranche is envisaged in early 2018, while the 
third and last tranche is expected to be disbursed in the first half of 2018. 

 

(c) one MFA operation for which the Commission's legislative proposal was adopted by the co-legislators in 2017: 

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  Moldova (EUR  100  million,  including  EUR  40  million  in  grants).  The  MFA  decision  for  Moldova  was  adopted  by  the  co-
legislators  in  September  2017.  The  first  tranche  of  EUR  30  million  is  expected  to  be  disbursed  in  the  first  quarter  of  2018, 
provided that the necessary conditions have been met...  

Key achievements 

Macro-Financial  Assistance  (MFA)  is  a  EU  financial  instrument  designed  to  address  exceptional  external  financing  needs  of 
countries that are geographically, economically and politically close to the EU. It is conditional on the existence of an adjustment 
and reform programme agreed with the International Monetary Fund (IMF), and can take the form of either loans, for which the 
Commission  borrows  the  necessary  funds  in  capital  markets  and  on-lends  them  to  the  beneficiary  country,  or,  under  certain 
circumstances, grants financed by the EU budget.  

Following  a  request  for  assistance  by  the  national  authorities,  the  Commission  assesses  whether  the  necessary  conditions  are  in 
place to propose MFA. Eligibility for MFA is guided by the Joint Declaration by the European Parliament and the Council adopted 
together with the decision providing further macro-financial assistance to Georgia of 2013551. The criteria for deciding whether the 
MFA will be in loans, grants or a combination of the two have been addressed in the above mentioned Joint Declaration as well as 
by  a  note  that  was  endorsed  by  the  Economic  and  Financial  Committee  in  January  2011552  and  relate  mainly  to  the  level  of 
development of the recipient country and its debt sustainability and/or creditworthiness. Following the adoption of the proposal by 
the  Commission,  the  European  Parliament  and  Council  adopt  the  Decision  under  the  ordinary  legislative  procedure.  The 
Commission and the beneficiary country agree on a Memorandum of Understanding (MoU) which will define the MFA programme 
conditionality,  after  having  consulted  the  Member  States  Committee  under  comitology  rules.  Disbursement  under  the  proposed 
MFA programmes is conditional on good progress by the beneficiary country with the IMF programme and on the implementation 
of the policy measures agreed in the MoU.  

MFA  has  gained  increasing  prominence  in  the  EU's  external  toolbox.  Since  1990,  the  EU  has  implemented  a  number  of  MFA 
operations  in  candidate,  potential  candidate  and  neighbourhood  countries,  for  a  total  amount  of  over  EUR  10  billion.  Individual 
MFA operations have ranged from relatively small ones – the smallest being the EUR 15 million operation implemented in 1996 in 
Moldova – to large scale ones, such as the EUR 1.8 billion operation approved in 2015 for Ukraine. Since 2014, around EUR 3.66 
billion have been already disbursed and other EUR 500 million have been committed for and are expected to be disbursed between 
2018 and 2019 (not considering the new MFA operations to be adopted soon or currently in the pipeline).  

MFA volumes increased substantially following the global economic and financial crisis of 2008-2009, which profoundly affected 
the emerging economies of the European Union’s neighbourhood. Six new MFA operations were approved between 2009 and 2010 
in support of Armenia, Bosnia and Herzegovina, Georgia, Moldova, Serbia and Ukraine, accounting for a total of EUR 1.3 billion. 
The EU made an even greater use of MFA from 2011, partly reflecting the effects of the euro area’s sovereign debt crisis and  in 
response  to  regional  developments.  The  political  and  economic  upheavals  in  the  Arab  Mediterranean  partner  countries  put 
heightened  pressure  on  these  countries’  budgets  and  external  financial  positions,  which  led  to  an  increased  demand  for  MFA  in 
2012 and 2013, with requests for support from Egypt, Jordan and Tunisia. In 2014, the conflict in eastern Ukraine and the marked 
deterioration of the country’s economic and financial situation triggered MFA support at an unprecedented level, all in the form of 
loans. Between 2014 and 2015, EUR 3.4 billion were made available to Ukraine under three MFA operations, of which EUR 2.81 
billion were disbursed as of December 2017. This represents the largest financial assistance ever granted to a non-EU country in 
such a short period of time. In response to persisting regional instability, in 2016 decisions on further MFA operations in T unisia 
and Jordan have been adopted, for a total amount of EUR 700 million and in 2017 a new operation in Moldova for an amount of 
EUR 100 million has been adopted.  

More details on past MFA operations, including under the current MFF, can be found in the Annual Report from the Commission 
to the European Parliament and the Council on the implementation of Macro-Financial Assistance to third countries, and related 
Staff  Working  Document553.  As  outlined  in  the  ex-post  evaluation  reports  published  to  date  (see  below),  MFA  operations  have 
contributed  to  restoring  macroeconomic  stability  and  returning  the  external  financial  situation  of  beneficiary  countries  on  a 
sustainable  path,  whilst  underpinning  economic  adjustments  and  structural  reforms  in  the  medium  term  through  conditionality. 
However, given its specificities, MFA cannot be linked directly to identifiable outputs, and its concrete achievements are therefore 
difficult to assess. 

Evaluations/studies conducted 

All  MFA  operations  are  subject  to  an  ex  post  evaluation,  which  is  normally  carried  out  within  two  years  from  the  end  of  the 
availability period defined in the legislative decision granting assistance. The objective is twofold: (i) to analyse the impact of MFA 
on the  economy of the beneficiary country and in particular on the sustainability of its external position; (ii)  to assess the added 
value of the EU intervention.  

The evaluations carried out  so far conclude that MFA operations do contribute, albeit  sometimes  modestly and indirectly, to the 
improvement  of  external  sustainability,  the  macroeconomic  stability  and  the  achievement  of  structural  reforms  in  the  recipient 
country. In most cases, MFA operations had a positive effect on the balance of payments of the beneficiary country and contributed 

551 Decision No 778/2013/EU of the European Parliament and of the Council of 12 August 2013 providing further macro-financial assistance to Georgia 
552 “Criteria for Determining the Use of Grants in EU Macro-Financial Assistance”, note of the European Commission to the EFC, January 2011. 
553 The Annual Reports and Related Staff Working Documents can be found at following link: https://ec.europa.eu/info/business-economy-euro/economic-and-
fiscal-policy-coordination/international-economic-relations/macro-financial-assistance-mfa-non-eu-partner-countries_en 

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to  relax  their  budgetary  constraints.  They  also  led  to  a  slightly  higher  economic  growth.  A  few  examples  of  recent  ex-post 
evaluations of MFA operations: 

MFA  I  in  Jordan:  "The  evaluation  concluded  that  the  MFA,  combined  with  a  simultaneous  IMF  SBA  programme,  effectively 
contributed to the timely stabilization and the medium-term sustainability of Jordan’s external financial and fiscal positions;[…], 
EU  added-value  was  most  prominent  in  reinforcing  the  promotion  of  structural  reforms  in  several  EU  priority  areas  and  in 
addressing short and medium-term social challenges". 

MFA  I  and  II  in  Ukraine:  "The  main  conclusions  from  the  evaluation  are  that  the  MFA,  in  part  because  of  the  sped  of  its 
deployment, had a positive impact on Ukraine’s economy helping to stabilize the financial situation and avoided measures (such as 
further public spending cuts) that would have had serious negative social impacts. It also contributed to the reform effort in the 
country"  

An  ex  post  evaluation  for  the  MFA  programme  in  the  Kyrgyz  Republic  is  currently  ongoing  and  is  expected  to  be  finalised  in 
2018. Additionally, ex post evaluation for the MFA programmes in Tunisia I and Georgia II will be launched in mid-2018. All final 
on 
reports 
http://ec.europa.eu/dgs/economy_finance/evaluation/completed/index_en.htm 

evaluations 

operations 

completed 

published 

ex-post 

MFA 

are 

of 

of 

Forthcoming implementation (2018-2019) 

Currently, the pipeline of MFA programmes for 2018/2019 includes: 

(a) implementation of ongoing MFA operations, as described above. These include: 
 

Jordan II (EUR 200 million in loans). Provided that the necessary conditions have been met, the disbursement of the.second 
and last tranche (EUR 100 million) is foreseen in the first quarter of 2018 

  Tunisia II (EUR 500 million in loans). The second and third tranche (EUR 150 million each) is expected to be disbursed in 

2018, provided that Tunisia implements the agreed policy measures.  

  Moldova  (EUR  100  million,  including  EUR  40  million  in  grants).  The  first  tranche  of  EUR  30  million  is  expected  to  be 
disbursed in the first quarter of 2018, subject to successful implementation of the policy measures laid down in the MoU and 
satisfactory progress with the IMF programme. 

(b) approval and implementation of possible new MFA operations, based on requests received to date or expected to be received 
imminently. These include: 
  Georgia II. (EUR 45 million, including EUR 10 million is grants). A request for MFA support was received from the national 
authorities in June 2017. On 29 September 2017 the Commission adopted a proposal for a MFA programme and submitted it to 
the European Parliament and the Council. Once the co-legislators have adopted the decision, the assistance could be disbursed 
in two instalments in 2018. 

  Ukraine IV (tentatively EUR 1 billion in loans). Ukraine's economy still faces significant risks, which stem from the uncertain 
external environment, slower-than-expected recovery in private capital flows and heavy external debt repayments resuming in 
2019. Seeking support for the country's renewed balance of payments needs, the Ukrainian authorities requested further MFA 
in November 2017. The Commission is currently assessing the request/preparing a proposal to the European Parliament and the 
Council. 

In  addition,  the  European  Commission  may  launch  other  new  MFA  operations  both  in  the  enlargement  and  the  neighbourhood 
regions in 2018, 2019 and beyond, in view of the deteriorated economic environment in several of these countries as a result of, 
among other things:  
 

conflicts  in  some  countries,  which  have  a  negative  impact  on  the  economy,  notably  through  refugees/internally  displaced 
persons (IDPs);  
terrorist  attacks  in  some  countries,  which  have  a  direct  impact  on  some  sectors  of  the  economy  and  overall  on  economic 
sentiment, business environment and level of investment;  
deterioration  of  the  economy  of  the  major  economic  partner(s)  of  some  EU  neighbouring  countries,  which  has  a  negative 
economic impact through the remittances, the trade and the currency/monetary channels; 
lower oil/gas prices; 
internal shocks in some countries (e.g. banking crisis) and/or structural  weaknesses translating into high fiscal deficit and/or 
current account deficit. 

 

 

 
 

III. Programme key facts and performance framework 
1. Financial programming 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

38,3 
38,3 

2. Implementation rates 

0,5 
0,5 

2017 

0,4 
0,4 

40,3 
40,3 

42,1 
42,1 

42,0 
42,0 

42,0 
42,0 

205,6 
205,6 

2018 

Voted appropriations 

CA 
40,328 

Impl. Rate 
99,74 % 

PA 
10,428 

Impl. Rate 
99,01 % 

CA 
42,086 

Impl. Rate 
0,17 % 

PA 
42,086 

Impl. Rate 
0,00 % 

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Authorised appropriations (*) 
(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

99,01 % 

99,74 % 

0,00 % 

0,17 % 

42,086 

10,428 

42,086 

40,328 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies – not applicable 

4. Performance information 

General objectives 

General Objective 1: Restoring a sustainable external finance situation for countries facing external financing difficulties 
Indicator 1: Official foreign exchange reserves in months of imports of goods and services. Source of data: Central Banks, IMF 

Milestones foreseen 

2014 

2015 

2016 

2017 

2018 

2019 

Target 2020: Maintain 
adequate level of 
foreign reserves 
broadly covering 3 
months of imports and 
short-term foreign 
debt by the end of the 
programmes. 

7.9 

3.6 

4.2 

1.8 

5.4 

8.7 

3.5 

4.7 

3.1 

4.4 

7.6 

3.7 

3 

3.6 

5.5 

Actual results 
7.8 

Actual results 
3.6 

Actual results 
3.5 

Actual results 
3.4 

Actual results 
4.7 

8.1 

3.8 

4.5 

3.7 

5.7 

8.4 

3.8 

4.6 

3.5 

5.2 

8.9 

4.0 

4.7 

5.2 

4.5 

Countries  
Baseline: Beneficiary 
countries' international 
reserves position in 2013 

Jordan 
5.0 

Georgia 
3.4 

Tunisia 
3.4 

Ukraine  
3.1 

Moldova 

Specific objectives 

Specific  Objective  1: Providing  macro-financial  assistance  to  third  countries  in  resolving  their  balance  of  payment  crises  and 
restoring external debt sustainability 
Indicator 1: Current account balance (% of GDP). Source of data: Central Banks, IMF 

Countries 

Jordan 

Georgia 

Tunisia 

Ukraine 

Moldova 

Baseline 
2014 

2015 

2016 

* Milestones foreseen 

2017 
-8.4 

2018 
-8.3 

2019 
-7.6 

Target 2020 

-7.3 

-9.1 

Actual results 
-9.3 

-10.7 

-12.1 

-12.8 

Actual results 

-10.4 

-10.6 

-10.3 

-8.9 

-3.5 

-5.3 

-8.9 

-0.2 

-5.7 

-10 

-9.1 

-7.6 

-3.5 

-3.4 

-3.6 

-5.0 

-4.9 

-5.2 

Actual results 
-9 

Actual results 
-4.1 

Actual results 
-4.6 

-6.2 

-9.7 

-7.1 

-3.0 

-5.1 

Indicator 2: External debt (% of GDP). Source of data: Central Banks, IMF 
Milestones foreseen 

Countries 
Baseline 2013 

Jordan 
30.0 

Georgia 
81.8 

2014 

2015 

2016 

2017 
40.7 

2018 
43.0 

2019 
45.3 

31.2 

35.2 

Actual results 
37.5 

106.9 

106.4 

107.0 

83.7 

103.0 

107.8 

Actual results 

Target 2020 

45.4 

107.0 

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Tunisia 
54.0 

Ukraine  
78.6 

Moldova 

56.2 

67.8 

Actual results 
78 

127.4 

126.3 

114.3 

77 

80.7 

80.4 

95.4 

130.0 

123.8 

Actual results 

84.9 

99.2 

Actual results 
97.2 

94.7 

94.9 

84.1 

78.9 

104.6 

83.3 

Expenditure related outputs 

Outputs 

MFA grant commitments to third countries 
Operational assessments, PEFA* studies and ex post evaluations 
Total 
* Public Expenditure and Financial Accountability 

Budget line 

01 03 02 
01 03 02 

Budget 2018 

Draft Budget 2019 

Number 
1 
4 
5 

EUR million 
10.00 
0.6 
10.6 

Number 
2 
4 

EUR million 
83.3 
0.5 
83.8 

5. Programme contribution to the Sustainable Development Goals - not applicable 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme - not applicable 

7. Programme related additional information 

The below tables summarize the MFA operations foreseen in 2018 and 2019. Commitments for grants 2017-2019 (tentative) - in 
million EUR 

Commitments for grants 2017-2019 (tentative) - in million EUR 

New MFA operations 
Total 

 Payments for grants 2017-2019 (tentative) - in million EUR 

MFA Moldova 
MFA Georgia 
New MFA operations 
Total 

2017 

2018 

20189 

40.3 
40.3 

10.6 
10.6 

42 
42 

2017 

2018 

20189 

10.0 

40,0 
10.0 

10.0  

50.0 

42 
42 

Total 
2017-2019 
92.9 
92.9 

Total 
2017-2019 
40.0 
20.0 
42 
102 

 MFA loan disbursements in 2017-2019 (tentative) - in million EUR 

2017 

2018 

20189 

MFA Ukraine III 
MFA Georgia I  
MFA Georgia II 
MFA Jordan II 
MFA Tunisia I 
MFA Tunisia II 
MFA Moldova 
Other new MFA operations* 
MFF MTR budget allocations** 
Total 
*Only identified new operations that are in the process of being approved or are being planned. 
**These figures include new MFA operations in line with MFF MTR projections, in response to the needs of countries in the neighbourhood. 

1100 
900 
2000 

300 
60 
650 

100 
100 
200 

35 
100 

600 
13 

1013 

1345 

Total 
2017-2019 
600 
13 
35 
200 
100 
500 
60 
1750 
900 
4358 

General note: Given the specificities of MFA, a precise assessment of its impact is difficult to make, as effects on macroeconomic 
variables over time cannot be uniquely attributed to MFA operations. In addition, as MFA is by nature a short-term crisis related 
instrument  spanning  over  2  to  3  years  maximum,  it  is  not  possible  to  quantify  its  objectives  in  terms  of  indicators/milestones 
beyond  the  horizon  of  the  MFA  operations  themselves  or,  at  most,  of  the  beneficiary  countries'  programmes  agreed  (or  to  be 
agreed) with the IMF. Therefore, for years going beyond the MFA operation or the IMF projections, the figures reflect the latest 
data available. 

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Special Instruments 

European Globalisation Adjustment Fund (EGF) 
Lead DG: EMPL 
Associated DGs: BUDG 

I. Programme Overview 

What the programme is about? 

The European Globalisation Adjustment Fund (EGF) is intended to provide support to workers made redundant as a result of major 
structural changes in world trade patterns due to globalisation or the negative effects of the global economic and financial crisis.  
The EGF is an emergency relief instrument. It co-finances active labour market policy measures organised by the Member States to 
help the redundant workers. The implementation of cases takes the form of coordinated packages of personalised services  which 
consists of tailor-made assistance. The EGF can co-finance a range of services for the redundant workers, from guidance, careers 
advice, coaching and training courses to assistance in  setting up their own business. These services  help the  workers re-position 
themselves on the labour market and to return to employment as quickly as possible by enabling them to update their knowledge 
and skills, or benefit from other suitable means, e.g. mobility allowances, childcare allowance.  

EU added value of the programme 

The opening of economies to international competition brings  new opportunities in terms of competitiveness and the creation of 
high-quality jobs. However, the opening of trade can also have negative consequences, including redundancies in some sectors and 
areas of the EU.  The  European Globalisation adjustment  Fund  addresses the adverse effects of  globalisation,  strengthens overall 
participation in the labour market and demonstrates the EU's solidarity with the workers affected. The scope of the fund has been 
broadened  for  the  2014-2020  period  to  include  support  for  workers  made  redundant  as  a  consequence  of  a  global  financial  and 
economic crisis, fixed-term and temporary agency workers, self-employed workers and also under certain circumstances NEETs. 
Union involvement through the EGF allows it to complement national and ESF resources available for the re-integration of workers 
made redundant as a consequence of trade related globalisation and a global financial and economic crisis.  

Practice  has  shown  that  the  EGF  allows  Member  States  to  offer  targeted  beneficiaries  better  tailor-made  and  more  in-depth 
assistance than  would be possible  without it,  including  measures to  which they  would not normally  have access (e.g. third-level 
education). The EGF allows Member States to pay particular attention to vulnerable people, such as lower-skilled or those with a 
migrant background, and to provide support with a better counsellor-beneficiary ratio and/or over a longer period of time than it 
would be possible without the EGF. 

The  result  of  the  beneficiary  survey,  carried  within  the  frame  of  the  EGF  mid-term  evaluation,  has  shown  that  67%  of  the 
respondents  were  of  the  opinion  that  the  EGF  is  creating  EU  added-value  by  offering  assistance  to  workers  made  redundant  in 
major restructuring events. 

II. Programme Update 

Implementation Status (2014-2017) 

Between 2014 and 2017 a total of 48 applications have been submitted by 11 Member States (BE, DE, EE, ES, FI, FR, GR, IE, IT, 
NL and SE) out of which 3 have later been withdrawn. Whereas 5 applications are still in the assessment or adoption phase, the 
other 40 applications met the funding criteria and therefore resulted in the mobilisation of EUR 127 610 701 from the EGF funding 
for 40 310 targeted workers and NEETs.  

Out of 45 accepted applications, 28 were submitted under the trade-related globalisation criterion and 17 under the economic and 
financial crisis criterion. The cases cover 25 different sectors, with the retail sector (6 cases) and the automotive sector  (5 cases) 
being the sectors most often subject to EGF applications during period under consideration.  

Based  on  the  experiences  made  during  the  previous  funding  period,  several  changes  were  introduced  in  the  EGF  Regulation  for 
2014-2020  as  to  speed  up  the  application  process  significantly  (up  to  20  weeks  as  compared  to  41in  the  previous  programming 
period).  Besides  procedural  changes,  EMPL  also  intensified  its  guidance  measures  to  Member  States.  Those  measures  led  to  a 
further reduction of the applications’ processing time.  

Key achievements  

The overall aim of each case is to ensure that the largest possible number of beneficiaries find sustainable employment as soon as 
possible. Based on the final reports received in 2014, 2015 and 2016 it can be observed that on average 46% to 47% of the targeted 
workers  have  taken  up  new  employment  following  EGF  intervention,  a  figure  which  in  the  general  case  rises  during  the  six  to 
twelve months after the end of EGF support. As regards the final reports received in 2017, the re-employment rate is significantly 
higher  and  reaches  57%.  Taking  into  consideration  that  all  final  reports  received  in  2017  were  the  cases  from  the  new  funding 
period these results are very encouraging.   

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It is worth pointing out that the beneficiaries supported by EGF co-funded measures are usually among those facing the greatest 
difficulties on the labour market. The results in terms of reintegration into work are influenced by absorption capacities of local and 
regional  labour  markets  in  the  aftermath  of  the  global  economic  and  financial  crisis.  Hence  the  reintegration  rate  is  very  case 
specific and it may considerably differ depending on the specific economic sector and the area concerned.  

Furthermore four Member States (BE, IE, GR and ES) have targeted 3.369 NEETs through EGF measures.  

In terms of both operational effectiveness and efficiency, the first Estonian EGF application ever can be regarded as a best practise 
example:  as  two  unrelated  major  cases  of  redundancies  occurred  in  the  same  region,  but  in  different  companies  and  sectors,  the 
Estonian authorities decided to apply for a  derogation to combine these in one single application. This led to efficiency  gains in 
terms of administrative burden, but also improved effectiveness, as this allowed offering a broader range of measures, tailor-made 
to the specific needs of certain groups of beneficiaries. 

Evaluations/Studies conducted 

The  biennial  report  on  the  EGF  activities  in  2015  and  2016  COM(2017)  636  final  has  been  published  in  October  2017  and  is 
available online: http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1517348972136&uri=CELEX:52017DC0636 

The report presents the cumulative data from 2007 till the end of 2016 on 147 applications accepted from Member States for which 
a total amount of EUR 592 894 193 has been requested in favour of 140 189 targeted beneficiaries. The support packages provided 
by  the  12  Member  States  to  the  targeted  beneficiaries  include  a  wide  range  of  personalised  job  search,  outplacement  and 
(re)qualification measures. The highest amounts were spent on job search allowances: (41 %), individual case management (20 %) 
and training and retraining (19%).  

During 2015-2016 a mid-term evaluation of 2014-2020 programming was carried out. It covered all EGF cases whose applications 
were  received  in  2014  and  2015.  The  mid-term  evaluation  found  that  there  are  a  number  of  positive  effects  arising  from  EGF 
support, i.e. volume effects (related to the fact that the increased volume of activity was an important factor supporting beneficiaries 
back into employment); scope effects (related to a wider scope of measures and/or target groups other than the usual ones); role 
effects (related to transfer of good practices from regional to national level) and process effects (related to the way different levels 
of administrations interact). 

In the context of the mid-term evaluation, a survey showed that some 92 % of the respondents confirmed that:  

  EGF increases not only the overall number of services, but especially the variety of services offered 
  EGF  intensifies  the  regular  services  offered.  In  a  Spanish  case,  the  case  providers  determined  that  the  per  capita  amount 
available was almost five times higher with the EGF than with regular measures, enabling a far more personalised approach. 
additional EGF measures raised awareness in the sense that other service providers stepped in to offer additional funding and to 
re-programme some funds initially earmarked for different purposes. 
in several countries the duration of specialised services was extended compared to what was available at national level.  

 

 
  The evaluation on the other hand pointed out several areas for improvement: 
 

the  exact  scope  of  the  EGF  and  the  criteria  that  trigger  its  use  could  be  further  defined  (the  notions  of  'significant  impact', 
globalisation and crisis are sometimes ambiguous). A possible solution would be the widening of the scope to all large scale 
redundancy events that cause a significant impact on the regional economy and labour market. This simplification would also 
speed up the mobilisation of EGF assistance by a few weeks.  
regarding  the  monitoring  framework,  the  evaluation  suggested  the  need  for  Member  States  to  collect  more  detailed  data, 
especially regarding the category of workers (professional and educational background) and their employment status (e.g. type 
of employment found). Furthermore it showed that Member States that would have had a potential EGF case refrained from 
applying for EGF assistance due to lack of institutional capacity, which could be addressed with enhanced technical assistance.  

 

Finally the evaluation  showed that EGF assistance, if offered to NEETs, is picked up by a  very high degree. However, thoughts 
should be given to whether the EGF is the right avenue to offer such assistance or if other channels would offer better chances of 
reaching out to the young people concerned. 

Forthcoming implementation (2018-2019)  

In order to promote the exchange of best practices and discuss issues of common interest EMPL organises biannually EGF Contact 
Persons' Meetings (CPM) inviting the Member States' representatives responsible for managing the EGF cases on the ground. In 
2018 these meetings have been planned in March in Italy and in October in Spain.  

At the  same time as the CPM, the Commission organises the EGF Networking Seminars which appeal to policy makers, project 
promotors, counsellors, trade unions and beneficiary representatives. The first EGF Networking Seminar will take place in March 
2018 in Italy and will be dedicated to the synergies and complementarity between EGF and other EU funds.  The EGF Seminar is 
planned for October 2018 in Spain. Both events will be complemented by project visits of EGF cases in implementation phase.  

In  2018,  the  Commission  will  focus  on  drafting  the  new  regulation  for  the  EGF  post-2020  programming  period.  In  that  regard 
EMPL will intensify efforts in collecting the inputs from the MS and organise the meeting to discuss the scope of the future EGF, 
the simpler way to apply for EGF support, the simpler rules for implementing, etc. The findings from the mid-term evaluation will 
contribute  in  process  of  preparation  of  a  subsequent  Regulation  and  serve  as  basis  for  further  discussion  with  the  MS.  The 

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Commission  will  continue  to  conduct  monitoring  visits  in  the  Member  States,  and  to  attend  events  or  conferences  related  to  the 
EGF in the Member States. 

III. Programme key facts and performance framework 

1. Financial programming 

Regulation (EU) No 1309/2013 of the European Parliament and of the Council of 17 December 2013 on 
the European Globalisation Adjustment Fund (2014-2020) and repealing Regulation (EC) No 1927/2006 

2014 - 2020 

Legal Basis 

Period of 
application 

Reference Amount 
(EUR million) 

Financial Programming (EUR million) 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

0,3 
120,1 
120,4 

0,6 
159,3 
159,9 

0,4 
165,2 
165,6 

0,3 
168,6 
168,9 

172,3 
172,3 

175,7 
175,7 

179,3 
179,3 

Total 
Programme 
1,6 
1 140,5 
1 142,2 

Administrative support 
Operational appropriations 
Total 

2. Implementation rates 

Voted appropriations 

168,924 

10,69 % 

CA 

Impl. Rate 

2017 

PA 

0,310 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

9,36 % 

172,302 

2,91 % 

25,000 

0,00 % 

2018 

Authorised appropriations (*) 

210,071 

8,59 % 

41,636 

43,10 % 

203,659 

2,46 % 

54,100 

9,42 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies 

Contribution to Europe 2020 headline targets 

75% of the population aged 20-64 should be employed 
20 million less people should be at risk of poverty 
100% (lines 04 04 01 + 40 02 43) 

Gender mainstreaming 

The EGF Regulation (Art.12) provides for the Commission and the Member States to ensure that equality between men and women 
and the integration of the gender perspective are an integral part of and promoted during, the various stages of the implementation 
of the financial contribution from the EGF. To that end the Member States formally confirm the respect of this principle at the time 
of application, where they provide a breakdown of the workers targeted for assistance. This is however a general principle applied 
across the implementation of the EGF and it is not relevant to produce estimate of budget contributions. 
Between 2007-2017 the greatest number of redundant workers (in total 50%) was targeted in the sectors (motor vehicles, computer, 
electronic, machinery and construction of buildings) in which traditionally employ much more men than women. As consequence, 
the  biggest  share  of  workers  made  redundant  and  then  targeted  by  the  EGF  applications  are  male  (68%  men  and  32%  women 
targeted for assistance). 

4. Performance information 

Specific objectives 

Specific Objective 1: To contribute to smart, inclusive and sustainable economic growth and to promote sustainable employment 
in the Union by enabling the Union to demonstrate solidarity towards and to support workers made redundant and self-employed 
persons whose activity has ceased as a result of major structural changes in world trade patterns due to globalisation, as a result of a 
continuation of the global financial and economic crisis addressed in Regulation (EC) No 546/2009, or as a result of a new global 
financial and economic crisis 
Indicator 1: Proportion of redundant workers reintegrated into employment following EGF supported measures 

Baseline 
2012 

47 % * 

2014 

2015 

2016 

2017 
49 % 

2018 

2019 

Milestones foreseen 

47 % 

46% 

Actual results* 
47% 

57% 

Target 2020 

> 50 % 

*These figures are based on the results reported by the MS in the final reports submitted to the EC by calendar year.  

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Expenditure related outputs 

Outputs 

Active  labour  market  policy  (ALMP)  measures  for  workers  made 
redundant as a result of changes in world trade and for NEETs 

Budget line 

04 04 01 

Draft Budget 2019 

Number 

NA 

EUR million 

NA 

Outputs 

Active  labour  market  policy  (ALMP)  measures 
for  workers  made  redundant  as  a  result  of 
changes in world trade (number people) 

Measures supporting NEETs (number people) 

F 

P 

F 
P 

2014 
na 

Number of outputs foreseen (F) and produced (P) 
2017 
na 

2016 
na 

2018 
na 

2015 
na 

2019 
na 

2020 
na 

13 848 

13 273 

5 030 

11 166 

na 
1 893 

na 
1 051 

na 
0 

na 
425 

na 

na 

na 

5. Programme contribution to the Sustainable Development Goals 

As stipulated by the EGF Regulation, the aim of the fund is to contribute to smart, inclusive and sustainable economic growth and 
to  promote  sustainable  employment  in  the  EU  by  enabling  the  Union  to  demonstrate  solidarity  towards,  and  to  support  workers 
made redundant. Thus, sustainability is one of the core values of the EGF and the Member States, when drawing their application, 
should favour measures that strive towards the reintegration into sustainable employment. They are invited not only to show how 
the measures are compatible with the shift towards a resource-efficient and sustainable economy, but also how to foster this shift. 
Furthermore, EGF measures should particularly stimulate disadvantaged persons to return to the labour market.  
The EGF contributes directly to the following SDGs:  
4.  Ensure  inclusive  and  equitable  quality  education  and  promote  lifelong  learning  opportunities  for  all:  Measures  aimed  at 
upgrading  and  updating  skills  are  among  the  core  measures  offered  by  EGF  assistance.  Long-term  educational  programmes  are 
eligible for EGF funding until the due date of the final report (thus 6 months longer period of eligibility than other measures).  
5. Achieve gender equality and empower all women and girls.: In many EU Member States, in certain areas, men and boys are the 
disadvantaged.  This  is  especially  true  for  mass  redundancy  cases  triggered  by  globalisation  or  the  financial  crisis  –  by  far  the 
biggest  share  of  workers  made  redundant  are  male.  The  EGF  is  helping  to  achieve  gender  equality  by  providing  help  to  such 
dismissed workers.  
8.  Promote  sustained,  inclusive  and  sustainable  economic  growth,  full  and  productive  employment  and  decent  work  for  all.: 
EGF  measures  promoting  high  quality  employment  and  decent  work  for  all  are  the  core  of  the  EGF.  Job  creation  and  fostering 
entrepreneurship  are  in  the  focus  of  many  EGF  cases.  The  goal  to  achieve  higher  levels  of  economic  productivity  through 
diversification, technological upgrading and innovation is indirectly supported by upgrading and updating skills of workers made 
redundant due to restructuring events, and by making them ready for future job market needs. Under certain circumstances NEETs 
are also covered by EGF measures.  
10. Reduce inequality within and among countries: The EGF is an emergency fund and is only mobilised in redundancy events 
that have a significant impact on the regional economy. By offering upskilling measures to workers made redundant, the EGF helps 
such regions to offer measures to make the workers ready for future labour market needs, fostering economic growth. Many EGF 
cases also include measures that foster responsible mobility of displaced workers. 

6. Information about financial instrument(s) and trust fund(s) financed by the Programme -Not applicable 

7. Programme related additional information 

The ex-post evaluation of the EGF in the period 2007-2013 provided evidence for the following: 

55 302 dismissed workers received support during this period 

 
  The average re-employment rate achieved at the end of EGF assistance  across the 73 cases was 49%. However it varied 
considerably from 4% to 86%. Given the prevailing economic conditions, this can be considered to be a positive outcome 
overall. In the majority of cases there was an increase in the re-employment rates achieved in the short and medium term 
(after  EGF  measures  had  ended),  indicating  a  high  level  of  sustainability  in  outcomes  (or  at  least  an  enhanced 
employability of beneficiaries).  

  A range of soft outcomes for the EGF participants were also identified in the evaluation, such as psychological benefits for 
assisted  workers.  This  included  a  greater  feeling  of  empowerment,  improved  self-esteem  and  better  ability  to  navigate 
labour market opportunities  
In  the  absence  of  the  EGF,  the  volume  of  activity  would  have  been  significantly  lower  in  some  cases,  the  EGF-funded 
measures broadened the scope of mainstream provision by providing support to groups that may not otherwise have been 
supported.  Additionally  there  were  some  examples  of  EGF  facilitating  innovation  and  good  practices  which  have  since 
been mainstreamed within Member States. 

 

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Special Instruments 

European Union Solidarity Fund (EUSF) 
Lead DG: REGIO 

I. Programme Overview 

What the programme is about? 

The European Union Solidarity Fund (EUSF), created in 2002, can be mobilised in the event of major and regional disasters upon 
application  from  the  national  authorities  of  the  country  concerned;  the  Commission  may  not  activate  it  upon  its  own  initiative. 
Financial  assistance  from  the  EUSF  is  awarded  from  appropriations  raised  by  the  budgetary  authority  (Council  and  European 
Parliament) over and above the normal EU budget. This ensures that in each case EUSF aid comes as an expression of solidarity 
with the full backing of Member States and the Parliament, not just an administrative act of the Commission. 

EU added value of the programme 

Solidarity  is  one  of  the  core  values  of  the  European  Union  and  a  guiding  principle  of  the  European  integration  process.  The 
European  Union  Solidarity  Fund  (EUSF),  created  in  2002,  is  one  of  the  most  concrete  demonstrations  of  solidarity  between 
Member States in acute times of need  caused by the occurrence of a severe natural disaster by providing  financial assistance to 
Member States and to countries negotiating their accession to the EU.  

The  EUSF  financial  contribution  alleviates  national/regional  budgets  from  the  financial  burden  inflicted  on  them  by  the  need  to 
respond to natural disasters. It is implemented under the  principle of shared  management (indirect  management for eligible non-
Member States) and  can be used to (re-)finance emergency measures from day one of the disaster, such as restoration to working 
order  of  basic  infrastructure,  providing  temporary  accommodation  and  funding  rescue  services  to  help  the  population  affected, 
securing of preventive infrastructure (dams/dykes) and cleaning-up operations. In order to have greater budgetary effect there is no 
national co-financing requirement. 
II. Programme Update 

Implementation Status (2014-2017) 

The EUSF is activated upon request of an eligible State when major or regional natural disasters eligible for EUSF aid occur, such 
as earthquakes,  floods, droughts,  forest fires, storms, etc. Eligibility is essentially determined by total direct damage  which  must 
exceed a threshold specific to each Member State/country negotiating EU accession or region at NUTS level 2. The number and 
size of eligible disaster determines the amount of spending in a given year. The total annual budgetary allocation to the Fund which 
is  laid  down  in  the  multi-annual  financial  framework  is  a  ceiling  rather  than  a  spending  target.  The  EUSF  is  therefore  not 
programmable  for  example  like  the  ESI  Funds,  as  it  entirely  depends  on  the  unpredictable  occurrence,  nature  and  magnitude  of 
these disasters. 

In 2014, 13 applications were received for EUSF assistance, namely from Italy relating to the flooding on Sardinia of 2013, France 
for the Cyclone Bejisa of 2014, Greece for the earthquake at Kefalonia of 2014, Slovenia for the ice storm of 2014, Croatia for the 
flooding and ice events of 2014 (2 cases), Bulgaria for the spring and summer looding of 2014 (2 cases), Serbia for the flooding of 
2014, Romania for the spring and summer flooding (2 cases) and for the extreme winter case of 2014, and one application  from 
Italy for the autumn floods of 2014. 11 of these applications were accepted; two were assessed as not meeting the conditions of the 
Regulation  and  were  therefore  rejected  (France/Bejisa  and  Romania/extreme  winter).  For  the  accepted  cases  aid  from  the  Fund 
totalling to EUR 193.2 million was mobilised following a co-decision procedure and paid out. 

In 2015, only three applications were received, namely two cases from Greece (Evros and Central Greece flooding of 2015) and 
one from Bulgaria for the severe winter conditions of 2015. All three cases were accepted (whereby the Greek cases were merged 
into one) and payments were made in 2015. 

In  2016,  6  applications  were  received,  namely  from  Greece  relating  to  the  Lefkada  earthquake  of  2015,  the  United  Kingdom 
relating to the flooding of 2015, Germany relating to the flooding of Lower Bavaria of 2016, Cyprus relating to drought and fires of 
2016, Portugal relating to the fires on the Island of Madeira of 2016 and Italy relating to the earthquakes of 2016/2017. 

In 2017, 10 applications were received, namely three cases from Spain (Murcia flooding 2016, Doñana fires 2017 and Galicia fires 
2017), Portugal relating to the forest fires of 2017, two cases from Greece (Lesbos and Kos earthquake 2017), Poland for the storm 
of 2017, Latvia and  Lithuania for the flooding of 2017 and relating to the hurricanes Irma and Maria of 2017. Two  applications 
(Murcia  flooding  and  Doñana  fires)  were  rejected  by  the  Commission.  The  assessments  of  the  remaining  8 applications  was 
ongoing in early 2018.  

Since 2015, under the terms of the EUSF Regulation as revised in 2014, Member States, when submitting their EUSF application, 
have  the  possibility  to  request  an  advance  payment  of  10 %  of  the  anticipated  aid  amount,  limited  to  a  maximum  of  EUR  30 
million.  In  2017,  Portugal,  Greece  and  France  used  this  possibility  and  the  advances,  in  total  EUR 6.521 million,  were  paid  out 
shortly after their applications were made in 2017.  

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For 5 applications received in 2015/2016, namely for the Lower Bavaria flooding of 2016, for the fires in Portugal of 2016, for the 
drought and fires in Cyprus of 2016, for the series of earthquakes in Italy of 2016/2017 and for the flooding in the UK of 2015, 
payments totalling to EUR 1 299 798 were made.   

For each case, following the adoption of the mobilisation decision by the budgetary authority and prior to making the payment, the 
Commission adopts an implementing decision addressed to the beneficiary State, specifying the conditions for the use of the money 
(with  indicative amounts per  measure). Spending is limited to the  four types of eligible  emergency and recovery operations laid 
down in the EUSF Regulation. None of the EUSF cases from 2015 and 2016 mentioned above have been closed yet as the financial 
contribution from the Fund is to be used within 18 months from the date on which the Commission has disbursed the full amount of 
the assistance. Eligibility starts however from the first occurrence of the damage and costs (for emergency and recovery operations) 
taken  before  the  Commission's  decision  may  therefore  be  eligible  for  the  intervention  too.  After  the  end  of  the  18  months 
implementation period, the beneficiary State has six months to present a report on the implementation of the financial contribution 
from the Fund with a statement justifying the expenditure incurred. It should be noted that the EUSF was not set up with the aim of 
meeting all the costs linked to natural disasters. The Fund is limited in principle to non-insurable damage and does not compensate 
for private losses. Long-term action – such as lasting reconstruction, economic redevelopment and prevention – are not eligible for 
EUSF  aid.  In  most  of  the  above  cases,  the  beneficiary  States  decided  to  dedicate  EUSF  aid  for  the  restoration  of  public 
infrastructure. 

Key achievements 
In February 2017 Italy updated its initial application relating to the  2016 earthquakes after another severe shake had occurred in 
January. This disaster  was  the biggest ever in terms of damage dealt  with by the EUSF. In October 2017 Italy  was awarded the 
record amount of EUR 1.197 billion. This was possible only by using the full EUSF allocation for 2016 (carried forward to 2017), 
the 2017 allocation plus the frontloading of a part of the 2018 allocation. 

In 2017, 10 new applications were received, of which 2 had to be rejected by the Commission and for the remaining 8 applications 
the  assessment  continued  into  2018.  The  EUSF  intervenes  for  emergency  and  recovery  operations  in  the  areas  of  basic 
infrastructures  mainly  for  transport  (road,  rail)  and  water  management  (securing  of  flood  protection  constructions),  energy,  and 
cleaning  up  operations.  In  some  cases,  beneficiary  States  also  used  the  Fund  to  cover  the  cost  of  temporary  housing.  Advance 
payments were requested in the case of 5 applications. Portugal, Greece and France received an advance shortly after the receipt of 
their applications. The assessment of the other cases was still ongoing at the beginning of 2018. 

After assessment of the implementation  reports and independent audit opinions received for earlier EUSF cases the Commission 
closed 7 interventions in 2017 dating from 2007 to 2013 and concerned Slovenia (2 cases), UK, Romania (3 cases) and Germany. 
The EUSF contribution is determined by awarding 2.5 % for the part of total direct damage up to the "major  disaster" threshold 
and 6 %  for the part of the damage exceeding the threshold; accordingly,  for regional disasters and disasters accepted under  the 
“neighbouring  country”  provision,  the  EUSF  contribution  is  2,5 %  of  total  direct  damage.  The  overall  impact  of  the  EUSF  is 
targeted on the affected population. However as, by its nature, the EUSF cannot  follow the programme approach (unlike the ESI 
Funds), it is usually not possible to identify the specific part of the population or areas covered by the EUSF intervention alone as 
most emergency and recovery operations are substantially covered by the beneficiary State’s own budget. 

Relevant findings of evaluation and/or programme related studies 
In  September  2017  an  external  in-depth  ex-post  evaluation  of  the  EUSF  was  launched  and  is  expected  to  be  completed  in  12 
months. The purpose of the ex-post evaluation is to assess the implementation and performance of the financial assistance provided 
by the EUSF over the period 2002-2016. The evaluation will assess also the synergies between the reformed EUSF and other EU 
policy instruments in contributing to strengthened measures for the prevention and management of natural disasters in beneficiary 
States. It is intended to enhance policy learning and ensure transparent communication on the implementation and performance of 
the instrument. The evaluation results will be disseminated to the general public, national and regional authorities, the Council, the 
European Parliament, the Court of Auditors, as well as to stakeholders interested in the activities and the performance of the EUSF. 

Forthcoming implementation (2018-2019) 
The occurrence of natural disasters cannot be predicted and applications are submitted if and when an eligible State decides to make 
an application following the ad hoc nature and impact of such natural disasters.   

III. Programme key facts and performance framework 
1. Financial programming 

Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund, 
amended by Regulation (EU) No 661/2014 of the European Parliament and of the Council of 15 May 2014 

2014 - 2020 

Legal Basis 

Period of 
application 

Reference 
Amount 

2014 

2015 

2016 

2017 

2018 

DB2019 

2020 

Financial Programming (EUR million) 

Operational appropriations 
Total 

126,7 
126,7 

82,8 
82,8 

81,5 
81,5 

1 241,2 
1 241,2 

147,6 
147,6 

50,0 
50,0 

50,0 
50,0 

Total 
Programme 
1 779,8 
1 779,8 

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2. Implementation rates 

CA 

Impl. Rate 

PA 

Impl. Rate 

CA 

Impl. Rate 

PA 

Impl. Rate 

2017 

2018 

Voted appropriations 

1 241,200 

100,00 % 

1 241,200 

100,00 % 

50,000 

5,04 % 

50,000 

5,04 % 

Authorised appropriations (*) 

1 272,675 

100,00 % 

1 272,675 

100,00 % 

50,000 

5,04 % 

50,000 

5,04 % 

(*) Authorised appropriations include voted appropriations, appropriations originating from assigned revenues (internal and external) as well as 
carried-over and reconstituted appropriations; the execution rate is calculated on 15 April 2018 

3. Contribution to Europe 2020 Strategy and mainstreaming of policies – not applicable 
4. Performance information 
Specific Objective 1: To grant financial assistance to Member States or countries negotiating their accession to the EU in the event 
of  a  major  natural  disaster  with  serious  repercussions  on  living  conditions,  the  natural  environment  or  the  economy  for  the 
financing of emergency operations undertaken by the public authorities in support of the affected population 
Indicator 1: Number of population helped in overcoming a crisis situation where their living conditions have been affected 

Former results 

Latest known result 

Target 2020 

2014:  
13 EUSF applications were received, of which 11 were accepted in 
2014, 2 were rejected. Payments for these cases were executed in 
2015. 
Moreover, 5 payments were made in 2014 for cases received in 
2012/2013, namely to Croatia for the flooding event of 2012, to 
Romania for the drought of fires disaster of 2012 and to Germany, 
Austria and the Czech Republic for the flooding events of 2013. 
2015: 
3 EUSF applications were received, decided and paid in 2015.  
Moreover, for earlier 11 cases received payments were made to the 
following MS/non-MS: 
- Greece for the Evros and Central Greece flooding of 2015 (2 
cases); 
- Bulgaria for severe winter conditions of 2015; 
- Italy for the flooding on Sardinia of 2013; 
- Greece for the earthquake at Kefalonia of 2014; 
- Slovenia for the ice storm of 2014; 
- Croatia for the flooding and ice events of 2014 (2 cases); 
- Bulgaria for the spring and summer  flooding of 2014 (2 cases); 
- Serbia for the flooding of 2014; 
- Romania for the spring and summer flooding of 2014 (2 cases); 
- Italy for the autumn floods of 2014. 
2016: 
6 EUSF applications were received from  
- Greece for the Lefkada earthquake of 2015; 
- the UK for the flooding of 2015;  
- from Germany for the flooding of Lower Bavaria of 2016; 
- Cyprus for the drought and fires of 2016;  
- Portugal for the fires on Madeira of 2016 and  
- from Italy for the earthquakes of 2016/2017 and payments were 
made in the course of 2017. 

Early 2017 Italy updated its initial application relating 
to the 2016/2017 earthquakes. This disaster was the 
biggest ever in terms of damage dealt with by the 
EUSF. In October 2017 Italy was awarded the record 
amount of EUR 1.197 billion. 

In the course of 2017, 10 EUSF applications were 
received 
- from Spain for the Murcia flooding of 2016, for the 
Doñana fires of 2017 and for the Galicia fires of 2017;  
- from Portugal for the fires of 2017; 
- from Greece for the Lesbos and Kos earthquake 2017; 
- from Poland for the storm of 2017; 
- from Latvia for the flooding of 2017; 
- from Lithuania for the flooding of 2017; and  
- from France relating to hurricanes Irma and Maria of 
2017. 

The Commission decided in early 2018 on 4 cases and 
mobilised EUSF aid over EUR 104 million for France, 
Portugal, Spain and Greece (Lesbos). The remaining 
cases were decided in the course of 2018.  

The EUSF aid is used for recovery operations in the areas 
of basic infrastructures mainly for transport (road, rail) 
and water management (securing of flood protection 
constructions), energy, temporary accommodation and 
cleaning up operations. Private damage cannot be 
compensated. 

The combination of these measures covers 100 % of the 
affected population. 

100 % of 
population 
affected and 
eligible under 
the EUSF 
Regulation 
upon the 
Member 
States' 
request 

Expenditure related outputs 

Outputs 

Budget line  Budget 2014-2015 

1.Number of applications received and assessed 

2.Number of award decisions adopted and commitments done 

130601 
130602 
130601 
130602 

15 
1 
13 
1 

Number  EUR million  Number 

Budget 2016 
EUR 
million 
1 301,4 
~ 
1,7 
~ 
1,7 

6 
~ 
1 
~ 

Budget 2017 

Number 

101) 
~ 
52) 
~ 

EUR 
million 
~ 
~ 
1 299,8 
~ 
1 299,8 

16,3 
60,2 
149,3 
60,2 
209,5 

3.Overall committed amount 
1) 10 applications were received in 2017, two were rejected and 8 applications were still in the progress of assessment by the end of 2017. Award 
decisions and commitments will be done in 2018.  
    2) For 5 applications received in 2016, award decisions were adopted in 2017 and commitments/payments were done in 2017 

5. Programme contribution to the Sustainable Development Goals 
The  EUSF  is  a  disaster  relief  instrument  supporting  beneficiary  states  in  recovering  their  damage  which  goes  beyond  their  own 
financial capacity. The reform of the EUSF regulation contains now several references where the beneficiary state is asked to report 
on preventive measures, disaster risk prevention and  any other relevant information on prevention and mitigation measures taken 
related  to  the  nature  of  the  natural  disaster  (Art.  8.2.3).  In  this  way  the  EUSF  contributes  indirectly  to  "Goal  13:  Take  urgent 
action to combat climate change and its impacts" disaster risk reduction. 

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