CELEX: 52004PC0629
Language: en
Date: 2004-09-29
Title: Proposal for a Regulation of the European Parliament and of the Council establishing a financing instrument for development cooperation and economic cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES
                                                    Brussels, 29.9.2004
                                                    COM(2004) 629 final
                                                    2004/0220 (COD)
                                       Proposal for a
   REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
    establishing a financing instrument for development cooperation and economic
                                        cooperation
                              (presented by the Commission)
EN                                                                               EN
 ---pagebreak---                                  EXPLANATORY MEMORANDUM
   The new structuring of Community instruments to implement external assistance under the
   2007-2013 financial perspectives has largely been explained in the Commission's
   communications to the Council and the European Parliament on the subject of the
   perspectives1 and in the introductory communication on the Basic Regulations. Further
   information on the general objectives, the specific objectives and the conditions governing
   implementation of the financial instrument for development cooperation and economic
   cooperation are given in the financial statement annexed to the Regulation. This Explanatory
   Memo therefore covers only the main provisions of the Regulation.
   1.        OBJECTIVES AND PRINCIPLES (TITLE I)
   1.1.      General objectives and areas of cooperation (Article 1)
   Article 1 lays down the countries, territories and regions eligible for assistance under the
   Regulation (paragraph 1), the general objectives (paragraph 1) and the areas of Community
   cooperation (paragraph 2).
   The Regulation covers all the world's countries, territories and regions except:
   – the Member States of the Community;
   – the Overseas Countries and Territories associated with the Community under Articles 182
      to 188 of the Treaty establishing the European Community;
   – the countries eligible for the pre-accession instrument (Albania, Former Yugoslav
      Republic of Macedonia, Bosnia-Herzegovina, Croatia, Serbia and Montenegro and
      Turkey);
   – the countries eligible for the new European Neighbourhood and Partnership Instrument
      (Algeria, Armenia, the Palestinian Authority of the West Bank and the Gaza Strip,
      Azerbaijan, Byelorussia, Egypt, the Russian Federation, Georgia, Israel, Jordan, Lebanon,
      Libya, Morocco, Moldavia, Syria, Tunisia and Ukraine).
   The Regulation covers the general objectives defined in Title XX (Development Cooperation)
   and Title XXI (Economic, financial and technical cooperation with third countries) of the
   Treaty establishing the European Community. It therefore provides support for both
   development policy2 and all forms of cooperation with developing countries, countries in
   transition and industrialised countries. In accordance with the communication on the financial
   1
           COM(2004) 101 of 10 February 2004 and COM(2004) 487 of 14 July 2004.
   2
           Under Article 177 of the Treaty the Community's development policy is intended to foster “the
           sustainable economic and social development of the developing countries, and more particularly the
           most disadvantaged among them, the smooth and gradual integration of the developing countries into
           the world economy and the campaign against poverty in the developing countries”. In addition,
           “Community policy in this area shall contribute to the general objective of developing and
           consolidating democracy and the rule of law, and to that of respecting human rights and fundamental
           freedoms”.
EN                                                      2                                                      EN
 ---pagebreak---    perspectives,3 the Regulation is also the new consolidated legal basis for pursuing internal
   policy objectives at international, multilateral and global levels.
   It does not impose any restrictions regarding the areas of Community cooperation or
   intervention. Any listing of such areas is purely illustrative. Areas may be chosen because
   they are pertinent to achieving the aims laid down in the Treaty, to the Community's
   international obligations and commitments (e.g. the Millennium Development Goals) or to the
   specific objectives provided for in the partnership and cooperation agreements with partner
   countries and regions. Nevertheless, areas in which cooperation is proposed should be
   selected with reference to the Community's guidelines on concentrating assistance,4 with a
   view to ensuring that the Community's policy and the policies of the Member States
   complement each other as required under Article 177 of the Treaty5 and in the light of the
   Commission's communications and the appropriate Council and Parliament resolutions.6
   1.2.      General Principles (Article 2)
   Article 2 sets out the five main principles that are to govern implementation of the Regulation:
   – consistency between the different areas of external activity, with other Community policies
      (as required under Articles 6 and 178 of the Treaty)7 and with Commission
      communications and Council resolutions;8
   – coordination of cooperation policies and measures between Member States, between
      Member States and the Commission (as required under Article 180 of the Treaty9) and with
      Commission communications and Council resolutions;10
   3
           COM(2004) 487 of 14.7.2004, section 3.4.3.
   4
           The European Community's Development Policy - Statement by the Council and the Commission
           (1348/00) of 10 November 2000.
   5
           “Community policy in the sphere of development cooperation, which shall be complementary to the
           policies pursued by the Member States […]” (Article 177).
   6
           - Communication from the Commission to the Council and the European Parliament on
           complementarity between Community and Member State policies on development cooperation
           (COM(1999) 218 of 6 May 1999).
           - Development Council Resolution (8435/99) of 21 May 1999 on complementarity between European
           Community and Member States' development cooperation policies.
           - European Parliament resolution on the Commission communication on complementarity between
           Community and Member State policies on development cooperation (A5-0227/2000 - 21 September
           2000).
   7
           "Environmental protection requirements must be integrated into the definition and implementation of
           the Community policies and activities referred to in Article 3, in particular with a view to promoting
           sustainable development." (Article 6).
           “The Community shall take account of the objectives referred to in Article 177 in the policies that it
           implements which are likely to affect developing countries” (Article 178).
   8
           - Development Council Resolution of 5 June 1997 on the coherence between the development co-
           operation policy and the other Community policies.
           - Communication from the Commission to the Council and the European Parliament “Towards
           improved coherence between the Community development policy and other Community policies”
           (COM(2000) 254 of 18 April 2000)
   9
           “The Community and the Member States shall coordinate their policies on development cooperation
           and shall consult each other on their aid programmes, including in international organisations and
           during international conferences. They may undertake joint action. Member States shall contribute if
           necessary to the implementation of Community assistance programmes.” (Article 180).
EN                                                       3                                                        EN
 ---pagebreak---    – coordination with other bilateral or multilateral donors in pursuit of the overall objective of
      EU external action of promoting a multilateral approach to resolution of international
      problems;
   – redirection of Community assistance towards forms of sectoral and budgetary support
      aimed in particular at consolidating national development strategies and reform policies,
      making Community assistance more effective, promoting ownership, enhancing local
      capacity and encouraging coordination and complementarity between donors;
   – respect for human rights and fundamental freedoms, democratic principles and the rule of
      law. The procedure for suspending aid where a partner country fails to comply with one of
      these essential elements is described in Article 23.
   2.         PROGRAMMING AND ALLOCATION OF FUNDS (TITLE II)
   2.1.       General framework for programming and allocation of funds (Article 3),
              multiannual programming of geographical programmes (Article 4) and
              multiannual programming of thematic programmes (Article 5)
   Article 3 describes the general framework for delivering external Community assistance. This
   is based on experience and adheres to the guidelines laid down in the reform of the
   management of the Community's external assistance,11 and incorporates the main innovations
   introduced in the Regulations most recently adopted by the Community.12 The Community's
   external assistance will be delivered via large-scale geographical programmes. A sum has also
   been earmarked for mounting thematic programmes aimed at financing global and horizontal
   initiatives, in particular multilateral or global initiatives that will promote the EU's internal
   policies abroad, and for a specific thematic programme of cooperation with industrialised
   countries (see also points 6.1.1 and 5.2 of the financial statement).
   Articles 4 and 5 lay down the procedures for multiannual geographical programming (strategy
   papers and multiannual indicative programmes) and thematic programmes (thematic strategy
   10
            - “Guidelines for strengthening operational coordination between the Community, represented by the
            Commission, and the Member States in the field of external assistance.” (Adopted by the General
            Affairs Council of January 2001 at the time of the discussions on the direction to be taken by the
            European Union’s external measures.)
            - The European Union decided its contribution to the process of financing for development (see
            Monterrey Conference of 18 to 22 March 2002) on 14 March 2002 at the Barcelona Council meeting
            where it undertook, inter alia, to “improve aid effectiveness through closer coordination and
            harmonisation, and take concrete steps to this effect before 2004”.
            - Communication from the Commission to the Council and the European Parliament: “Translating the
            Monterrey Consensus into practice; the contribution by the European Union (COM(2004) 150 of 5
            March 2004).
   11
            Communication SEC(2000) 814 of 16 May 2000 presented by Members of the Commission, Mr Patten
            (External Relations), Mr Nielson (Development and Humanitarian Aid), Mr Verheugen (Enlargement),
            Mr Lamy (Trade) and Mr Solbes Mira (Economic and Monetary Affairs).
   12
            And in particular (a) Council Regulation (EC, Euratom) No 99/2000 of 29 December 1999 concerning
            the provision of assistance to the partner States in Eastern Europe and Central Asia, (b) Council
            Regulation (EC) No 2698/2000 of 27 November 2000 amending Regulation (EC) No 1488/96 on
            financial and technical measures to accompany (MEDA) the reform of economic and social structures
            in the framework of the Euro-Mediterranean partnership, (c) Council Regulation (EC) No 2666/2000 of
            5 December 2000 on assistance for Albania, Bosnia and Herzegovina, Croatia, the Federal Republic of
            Yugoslavia and the Former Yugoslav Republic of Macedonia.
EN                                                          4                                                   EN
 ---pagebreak---    papers) in line with the reforms that have been introduced and the principles drawn up in
   close cooperation with the Member States since 2000. The structure of strategy documents
   and multiannual indicative programme drawn up for each partner country and region will
   adhere to the requirements of the Framework for Country Strategy Papers13 adjusted, where
   appropriate, to take account of experience gained since the reform process started. Similarly,
   the thematic strategy papers must be drawn up in line with the working paper on a common
   framework and procedure for programming thematic and horizontal budget lines.14 This will
   ensure better and more uniform programming which reflects the objectives and priorities of
   EU policies. Strategic priorities will be enshrined in strategy papers, whilst multiannual
   programming will produce the most appropriate policy-mix for each partner country or region
   by combining external assistance instruments and other Community instruments (trade,
   CFSP), and by taking into account the Union's regional priorities, any synergies and
   complementarity between and with the Member States and other bilateral and multilateral
   donors, the macroeconomic situation in each country and the policy dialogues with partner
   countries. Geographical strategy papers will be drafted in the course of dialogue by partner
   countries and regions and multiannual indicative programmes will be concluded with those
   countries and regions. To ensure consistency between Community measures and those of the
   Member States, the Member States will be fully involved in the programming process,
   initially through close local coordination between the representatives of the Commission and
   the Member States, and then in Brussels through the committee procedure.
   2.2.       Adoption of multiannual programming papers (Article 6)
   Article 6 provides that multiannual programming papers (i.e. strategy papers, multiannual
   indicative programmes for partner countries and regions, and thematic strategy papers) will be
   adopted by the Commission in accordance with the procedure described in Article 4 of
   Decision 1999/468/CE, in other words after obtaining the opinion of a management
   committee made up of representatives of the Member States and chaired by a Commission
   representative (the committee being established under Article 21 of this Regulation). The
   committee's opinion must be obtained by the majority prescribed in Article 205(2) of the
   Treaty for decisions that the Council adopts upon a Commission proposal.
   3.         IMPLEMENTATION (TITLE III)
   3.1.       Adoption of action programmes (Article 7)
   Article 7 provides that financing decisions taken by the Commission are to be in the form of
   annual action programmes, one per country or region. This is in line with the new principles
   introduced in the most recent regulations adopted by the Community.15 As these are
   Commission decisions based on multiannual programming papers (i.e. strategy papers,
   multiannual indicative programmes and thematic strategy papers for the different partner
   countries and regions) approved by the Member States, it is not proposed to put action
   programmes through the committee procedure. The Commission will forward an action
   programme to the Member States within one month of taking its decision. Where appropriate,
   13
            Commission working paper (SEC(2000) 1049) approved by the Development Council on 10 November
            2000.
   14
            Commission working paper approved by the Directors-General for External affairs, Development and
            the EuropeAid Cooperation Office in December 2003.
   15
            See footnote on page 11.
EN                                                     5                                                     EN
 ---pagebreak---    particularly in the case of geographical programmes, financing agreements for action
   programmes will be signed with the partner countries and regions. The Commission has the
   powers to adjust action programmes where necessary. Article 7 provides that measures may
   exceptionally be adopted outside the action-programme framework with the same procedures.
   This may prove useful should the Commission wish to mobilise financing speedily before an
   action programme has been fully finalised.
   3.2.      Adoption of special measures not provided for in strategy papers and
             multiannual indicative programmes (Article 8)
   Article 8 provides for the possibility of adopting special measures not provided for in strategy
   papers or multiannual indicative programmes in case of need or unforeseen circumstances.
   This will enable the Community to react more quickly and allow greater flexibility in
   implementing external assistance efficiently, especially in emergencies. As these Commission
   decisions will be taken outside the procedure for Member State approval of multiannual
   programming, there is provision to submit these decisions to the committee procedure where
   the financing exceeds €15 million. So any special measures not covered by strategy papers or
   multiannual indicative programmes will be adopted by the Commission in accordance with
   the procedure laid down in Article 3 of Decision 1999/468/CE, i.e. after obtaining the opinion
   of an advisory committee made up of representatives of the Member States and chaired by a
   Commission representative (the committee is set up under Article 21). The committee will
   issue its opinion on the special measures and the Commission must take the fullest account of
   the opinion and inform the committee of what it has done to do so. The Commission may
   adjust special measures by the same procedure but no committee opinion is required for
   adjustments deemed to be minor, as defined in Article 8(4).
   3.3.      Eligibility (Article 9)
   Article 9 lists all the bodies, authorities and institutions eligible under the Regulation. In line
   with current practice, the eligibility provisions are broad. EU institutions and bodies are
   eligible, but only in connection with implementing support measures (see Article 11).
   Concerning eligibility for Community grants, Article 9 has to be read in the light of Article 16
   which sets out the rules for public procurement and grant award procedures.
   3.4.      Types of measures (Article 10) and support measures (Article 11)
   Without being exhaustive, Article 10 cites the type of measure that may be financed under
   this Regulation on the basis of current practice.16
   Under Article 11 the Community may finance any support measure that is necessary for
   implementing the Regulation. Where support measures are not financed directly under
   multiannual programmes or action programmes, point 6.1.2 of the financial statement makes
   provision for specific envelopes (equivalent to the current BA lines), whilst Article 11(3)
   provides that the procedures for the adoption of special measures not covered in strategy
   papers or multiannual programmes must be used to adopt support measures (see Article 8).
   16
           See, for instance, Article 61 of the Cotonou Agreement.
EN                                                        6                                            EN
 ---pagebreak---    3.5.     Joint financing (Article 12) and management procedures (Article 13)
   In line with current practice and donors' efforts to encourage the greatest possible
   coordination of cooperation measures, Article 12 confirms that, where it has been agreed to
   finance a measure, this may be done by cofinancing (joint financing, parallel financing).
   Paragraph 3 states that the Commission may be required to receive and manage funds from
   the Member States (particularly from their public and parastatal bodies), from other
   non-Community donors or from international or regional organisations. This allow the
   Commission to act on an equal footing with other donors.
   Article 13 describes the procedures the Commission may use to manage implementation of
   measures financed under the Regulation, namely:
   – centralised, direct or indirect, management by Community agencies or bodies established
      by the Communities (paragraph 2);
   – centralised, indirect management by Member State bodies (paragraph 3), in accordance
      with Article 54(2)(c)(i) of the Financial Regulation which allows this method provided the
      basic act so provides. In this case the article lays down that the Commission must take its
      decision by the procedure provided for in Article 4 of Decision 1999/468/EC, in other
      words after obtaining the opinion of a management committee made up of representatives
      of the Member States (see procedures in point 2.2).
   3.6.     Budget commitments (Article 14)
   Article 14 provides that budgetary commitments must be made on the basis of decisions taken
   by the Commission under action programmes (Article 7), special measures not covered in
   strategy papers, multiannual indicative programmes (Article 8) and support measures
   (Article 11).
   3.7.     Protection of the Community's financial interests (Article 15)
   Article 15 lays down measures to protect the Community's financial interests, and in
   particular to enable it to carry out all the necessary checks on the measures implemented.
   3.8.     Participation in public tenders, obtaining grants, rules of origin (Article 16)
   Article 16 lays down the conditions governing access to public procurement and grants
   awarded for the purposes of implementing the Regulation. At present the provisions proposed
   comply with the proposal for a Regulation of the European Parliament and of the Council on
   access to Community external assistance,17 which provides for amendment of the basic
   regulations governing the Community's main aid instruments with a view to untying aid
   further. Article 16(2) provides that, if a third country opens up its public procurement and
   grant procedures to the Member States of the Community, the Commission may decide to
   authorise that third country to participate in the corresponding Community procedures,
   subject to a favourable opinion first being obtained from a management committee made up
   of Member State representatives (the procedure provided for in Article 4 of Decision
   1999/468/EC - see procedures in point 2.2). Article 16 may be amended to take into account
   the Council's and Parliament's conclusions when they examine the above Regulation.
   17
           COM(2004) 313 of 26.4.2004.
EN                                                   7                                            EN
 ---pagebreak---    3.9.      Prefinancing (Article 17) and funds made available to the European Investment
             Bank or other financial intermediaries (Article 18)
   Articles 17 and 18 flesh out technical points concerning implementation of some of the
   measures provided for in Article 10.
   Article 17 specifies that the interest generated by prefinancing is deducted from the final
   payment.
   Article 18 specifies the kind of provisions the Commission must adopt in specific cases if it
   decides to make funds available to the European Investment Bank or other financial
   intermediaries.
   3.10.     Evaluation (Article 19)
   Article 19 commits the Commission to regular evaluation of the outcomes of the geographical
   and thematic policies and programmes, sectoral policies and the effectiveness of
   programming.
   4.        FINAL PROVISION (TITLE IV)
   4.1.      Annual report (Article 20)
   In line with the decisions implemented since 2001 with a view to simplifying and reducing the
   number of reports forwarded to the Council and Parliament, Article 20 maintains the
   status quo and provides for an annual Commission report to these bodies. The report must
   take account of the experience gained since 2001 and, in particular, of the Council's and
   Parliament's annual observations on the form and content of the report.18
   4.2.      Committee procedures (Article 21)
   Article 21 establishes the Member State committee. The committee's prerogatives are set out
   in points 2.2, 3.2, 3.5 and 3.8. If the Committee is examining external measures designed to
   project internal policies abroad, the Committee may be co-chaired by the relevant
   Commission department.
   4.3.      Participation by a third country not eligible under this Regulation (Article 22)
   To make Community assistance more effective, and in particular to avoid programmes being
   split up among several different instruments, Article 22 extends the list of countries eligible
   under this Regulation to include the Overseas Countries and Territories, the countries eligible
   for the pre-accession instrument and those eligible for the European Neighbourhood and
   Partnership Instrument. This provision will be used for projects and programmes of a global,
   regional or crossborder nature.
   18
           The last report sent is the “Annual report from the Commission to the Council and the European
           Parliament on European Community development policy and the implementation of external assistance
           in 2002” (COM(2003) 527 of 3 September 2003).
EN                                                      8                                                    EN
 ---pagebreak---    4.4.     Suspending assistance (Article 23)
   Article 23 lays down the procedure to be applied in the event of non-compliance with the
   principles set out in Title I. It applies where there is no partnership and cooperation agreement
   with a partner country or where such an agreement does not lay down procedures for essential
   elements clauses.
   4.5.     Financial provisions (Article 24)
   Article 24 sets the financial reference amount for the implementation of the Regulation and
   the envelope for cooperation with the African, Caribbean and Pacific countries, as required by
   the Communication from the Commission to the Council and the European Parliament
   "Towards the full integration of co-operation with ACP countries in the EU budget".19
   4.6.     Reviewing the Regulation (Article 25)
   Article 25 provides for review of the Regulation at 31 December 2011.
   19
           COM(2003) 590 of 8 October 2003.
EN                                                   9                                               EN
 ---pagebreak---                                                          2004/0220 (COD)
                                            Proposal for a
       REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
        establishing a financing instrument for development cooperation and economic
                                             cooperation
   THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
   Having regard to the Treaty establishing the European Community, and in particular Articles
   179(1) and 181a(2) thereof,
   Having regard to the proposal from the Commission,20
   Acting in accordance with the procedure referred to in Article 251 of the Treaty,
   Whereas:
   (1)    A new framework for planning and delivering assistance is proposed in order to make
          the Community's external assistance more effective. Council Regulation (EC) No [.] of
          [ ] establishes an Instrument for Pre-Accession (IPA) for Community assistance to
          candidate and potential candidate countries.21 Regulation (EC) No [.] of the European
          Parliament and of the Council of [.] establishes a European Neighbourhood and
          Partnership Instrument (ENPI).22 This Regulation is the third general instrument
          providing direct support for the European Union’s external policies.
   (2)    The pursuit and deepening of bilateral relations between the European Community and
          the industrialised countries and consolidation of multilateral institutions are important
          factors in strengthening the European Union's role and place in the world, and make a
          significant contribution to balancing and developing the world economy.
   (3)    In accordance with the principles enshrined in agreements, action plans and jointly
          adopted declarations, the Community implements a cooperation policy with the
          industrialised countries aimed at creating an environment conducive to pursuing and
          developing its relations with those countries. Cooperation policy helps to create
          conditions likely to strengthen the European presence in these countries and encourage
          economic, commercial, academic, cultural and other exchanges.
   (4)    The Community pursues a development cooperation policy particularly aimed at
          achieving the objectives of poverty reduction, sustainable economic and social
   20
          OJ C […] of […], p. […].
   21
          OJ L […] of […], p. […].
   22
          OJ L […] of […], p. […].
EN                                               10                                                 EN
 ---pagebreak---         development and the smooth and gradual integration of developing countries into the
        world economy.
   (5)  The Community's development cooperation policy and international action are guided
        by the Millennium Development Goals such as the eradication of extreme poverty and
        hunger, adopted by the UN General Assembly in 2000, and the main development
        objectives and principles agreed at various UN conferences.
   (6)  A political environment which guarantees peace, security and stability, respect of
        human rights, fundamental freedoms, democratic principles, the rule of law and good
        governance is fundamental to long-term development.
   (7)  Sound and sustainable economic policies are a pre-requisite for development.
   (8)  The statement of 10 November 2000 by the Council and the Commission on the
        European Community's development policy provides the general framework for action
        by the Community on development matters.
   (9)  The Community and its Member States have concluded partnership and cooperation
        agreements aimed at making a significant contribution to the long-term development
        of the partner countries and the wellbeing of their people.
   (10) The essential elements on which these partnership and cooperation agreements are
        based are the common and universal values of respect for and promotion of human
        rights, fundamental freedoms, democratic principles and the rule of law.
   (11) In implementing the Community's development policy, a crucial objective is to make
        aid more effective, greater complementarity and more streamlining, uniformity and
        coordination of procedures, both within the European Union and in relations with
        other donors and development actors, are essential to ensuring the consistency and
        relevance of aid whilst at the same time reducing the costs borne by partner countries.
   (12) The key to the success of development policies is whether the partner countries take
        ownership of the development strategies, and, to this end, the greatest possible
        involvement of all sections of society should be encouraged. With a view to ensuring
        efficiency and transparency and encouraging countries to take ownership, donors'
        cooperation strategies and implementation procedures should where possible, be
        aligned on those of the partner countries.
   (13) Consistency must be guaranteed between the different areas of the Community's
        external action, and external Community policies must be compatible with its internal
        policies.
   (14) The Commission has adopted two communications on Linking Relief Reconstruction
        and Development (COM(1996) 153 and COM(2001) 153), followed up by resolutions
        of the European Parliament and conclusions of the Council, emphasising the need to
        ensure effective bridging between operations financed from different European
        Community financing instruments.
   (15) The adoption of thematic programmes is an essential tool for projecting internal
        policies outside the EU; such programmes must balance the need for sectoral
EN                                             11                                               EN
 ---pagebreak---         consistency and thematic visibility for internal policies with the need for overall
        consistency in external relations.
   (16) Untying aid to an appropriate extent is a key factor in adding value to aid and in
        building local capacity.
   (17) This Regulation establishes a financial allocation for the period 2007-2013 which will
        be the special reference, within the meaning of Point 33 of the Interinstitutional
        Agreement of 6 May 1999 between the European Parliament, the Council and the
        Commission on budgetary discipline and improvement of the budgetary procedure.
   (18) Measures should be adopted for implementation of this Regulation in accordance with
        Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the
        exercise of implementing powers conferred on the Commission.23 Multiannual
        programming documents and some specific implementation measures should be
        adopted by the management committee procedure. Other measures not provided for in
        the programming papers should be adopted by the advisory committee procedure.
   (19) The objectives of the proposed action, namely support for development cooperation,
        economic cooperation, financial cooperation, scientific and technical cooperation and
        any form of cooperation with countries, territories and regions that are not Community
        Member States and are not eligible for Community aid under the IPA or the ENPI
        instruments, cannot be sufficiently achieved by the Member States and can, by reason
        of the scale of the action, be better achieved by the Community. The Community may
        therefore adopt measures in accordance with the principle of subsidiarity enshrined in
        Article 5 of the Treaty. In accordance with the principle of proportionality laid down
        in that Article, this Regulation does not go beyond what is necessary to achieve these
        objectives.
   (20) This Regulation makes it necessary to repeal the following Regulations: (a) Regulation
        No 1568/2003 of the European Parliament and of the Council of 15 July 2003 on aid
        to fight poverty diseases (HIV/AIDS, tuberculosis and malaria) in developing
        countries, (b) Regulation No 1567/2003 of the European Parliament and of the
        Council of 15 July 2003 on aid for policies and actions on reproductive and sexual
        health and rights in developing countries, (c) Regulation (EC) No 2493/2000 of the
        European Parliament and of the Council of 7 November 2000 on measures to promote
        the full integration of the environmental dimension in the development process of
        developing countries, (d) Regulation (EC) No 2494/2000 of the European Parliament
        and of the Council of 7 November 2000 on measures to promote the conservation and
        sustainable management of tropical forests and other forests in developing countries,
        (e) Council Regulation (EC) No 975/1999 of 29 April 1999 laying down the
        requirements for the implementation of development cooperation which contribute to
        the general objective of developing and consolidating democracy and the rule of law
        and to that of respecting human rights and fundamental freedoms, (f) Regulation (EC)
        No 806/2004 of the European Parliament and of the Council of 21 April 2004 on
        promoting gender equality in development cooperation, (g) Council Regulation (EC)
        No 1659/98 of 17 July 1998 on decentralised cooperation, amended and extended by
        Regulations (EC) Nos 995/2002 and 625/2004, (h) Council Regulation (EC) No
   23
        OJ L 184, 17.7.1999, p. 23.
EN                                               12                                            EN
 ---pagebreak---         1658/98 of 17 July 1998 on co-financing operations with European non-governmental
        organisations (NGOs) in fields of interest to the developing countries, (i) Council
        Regulation (EC) No°1292/96 of 27 June 1996 on food-aid policy and food-aid
        management and special operations in support of food security, amended by
        Regulation (EC) No 1726/2001 of the European Parliament and of the Council of
        23 July 2001 amending Article 21 of Council Regulation (EC) No 1292/96 on food-
        aid policy and food-aid management and special operations in support of food
        security, (j) Council Regulation (EC) No 382/2001 of 26 February 2001 concerning
        the implementation of projects promoting cooperation and commercial relations
        between the European Union and the industrialised countries of North America, the
        Far East and Australasia and repealing Regulation (EC) No 1035/1999, (k) Regulation
        (EC) No 1726/2000 of the European Parliament and of the Council of 29 June 2000 on
        development cooperation with South Africa, (l) Council Regulation (EEC) No 443/92
        of 25 February 1992 (ALA) on financial and technical assistance to, and economic
        cooperation with, the developing countries in Asia and Latin America, (m) Council
        Regulation (EC) No 2258/96 of 22 November 1996 on rehabilitation and
        reconstruction operations in developing countries, (n) Regulation (EC) No 2130/2001
        of the European Parliament and of the Council of 29 October 2001 on operations to
        aid uprooted people in Asian and Latin American developing countries, (o) Council
        Regulation (EC) No 550/97 of 24 March 1997 on HIV/AIDS-related operations in
        developing countries and (p) Council Regulation (EC) No 1484/97 of 22 July 1997 on
        aid for population policies and programmes in the developing countries,
   HAVE ADOPTED THIS REGULATION:
                                             TITLE I
                               OBJECTIVES AND PRINCIPLES
                                            Article 1
                                        Purpose and scope
   (1)    In accordance with Articles 179 and 181a of the Treaty, the Community shall finance
          measures aimed at supporting cooperation with countries, territories and regions
          (hereinafter referred to as “partner countries and regions”) which are not Member
          States of the Community or Overseas Countries and Territories, or eligible for
          Community assistance under the pre-accession instrument or the European
          Neighbourhood and Partnership Instrument, and international measures in
          multilateral frameworks.
   (2)    In accordance with Articles 179 and 181a of the Treaty, Community assistance shall
          support inter alia development cooperation, economic, financial, scientific and
          technical cooperation and all other forms of cooperation with partner countries and
          regions, and international measures to promote the objectives of the EU's internal
          policies abroad. Such cooperation shall be implemented in accordance with the
          principles and objectives of the Community's external action.
EN                                             13                                             EN
 ---pagebreak---    (3) Measures financed under this Regulation shall cover all areas of cooperation
       pertinent to achieving the objectives of Articles 177 to 181a of the Treaty and to
       fulfilling the Community's international obligations and commitments. It shall also
       be used for areas of cooperation covered by partnership and cooperation agreements
       and other bilateral instruments concluded with partner countries and regions or
       specified in declarations jointly approved with such countries and regions, and for
       pursuing the objectives of internal policies at international level. The measures shall
       relate inter alia to:
       (a)    human and social development, including health and population issues;
       (b)    promoting gender equality;
       (c)    rural development, food aid and food security;
       (d)    urban development;
       (e)    environmental protection;
       (f)    sustainable development of natural resources;
       (g)    infrastructure (particularly transport, water, power, environmental and
              telecommunications infrastructure), including the management systems and
              safety and security of power and transport infrastructure and operations, and
              energy saving measures;
       (h)    the private sector, productive sectors and economic infrastructure;
       (i)    trade and investment;
       (j)    jobs, social cohesion and social protection;
       (k)    upholding fundamental social rights, including core labour standards;
       (l)    customs and tax;
       (m) macroeconomic and structural reform;
       (n)    sectoral reform;
       (o)    basic, secondary and higher education, and vocational training;
       (p)    research, cooperation on and development of scientific and technical capacity;
              and scientific mobility;
       (q)    cultural cooperation and academic and cultural exchanges;
       (r)    mutual understanding between the Community and the partner countries and
              regions;
EN                                            14                                               EN
 ---pagebreak---        (s)   developing civil society, dialogue with non-government actors, particularly
             associations, non-governmental organisations, the media and the social
             partners;
       (t)   support for institutions aimed, for instance, at promoting good governance,
             strengthening the rule of law, building up the capacity of administrations and
             local authorities, making public services more effective and aligning
             institutional and regulatory frameworks;
       (u)   policy dialogue;
       (v)   promoting and defending human rights and fundamental freedoms, and support
             for the process of democratisation including electoral assistance and election
             observers;
       (w) regional cooperation and integration, including cooperation between industrial
             partners;
       (x)   crossborder cooperation;
       (y)   justice, plus judicial, police, tax, financial and customs cooperation;
       (z)   all aspects of asylum and (legal or illegal) migration including border controls,
             readmission and return, and international protection;
       (aa) aid for refugees, and displaced or uprooted persons;
       (bb) conflict prevention, management and resolution;
       (cc) the transition from emergency aid to rehabilitation and long-term development,
             reconstruction and post-emergency rehabilitation;
       (dd) preventing natural disasters;
       (ee) any other area appropriate for achieving the objectives laid down in Articles
             177 to 181a of the Treaty.
                                            Article 2
                                       General principles
   (1) For all measures financed under, and all areas of cooperation covered by, this
       Regulation the Community shall aim to ensure consistency between the different
       areas of external action and with other Community policies. Such consistency shall
       be ensured in formulating policy, strategic planning and the programming and
       implementation of measures.
   (2) In the interests of better policy coordination and harmonisation of the programming
       process and procedures, the Commission and the Member States shall coordinate
       amongst each other and ensure that their measures are complementary for all
       measures financed and cooperation areas covered under this Regulation.
EN                                              15                                             EN
 ---pagebreak---        Coordination shall involve regular and frequent exchanges of information between
       Member States, and between them and the Commission, on their respective analyses
       of the situation in the partner countries and regions and on cooperation strategies,
       priority sectors, current and future cooperation measures and evaluations.
       Such coordination shall be promoted above all at local level in the partner countries
       and regions.
       The Member States and the Community shall use the results of the regular
       coordination exercises as essential inputs for their programming processes.
   (3) To promote a multilateral approach to solving international problems the
       Commission, in consultation with the Member States, shall take whatever steps are
       necessary to ensure coordination and cooperation with multilateral and regional
       organisations and bodies such as international financial institutions, United Nations
       agencies, funds and programmes, and bilateral donors other than those of the
       Community.
   (4) The Community's cooperation activities shall foster and encourage support for
       national development strategies, reform policies and sectoral approaches and
       programmes making use of the most suitable instruments, particularly budgetary
       support.
   (5) The Union is founded on the values of respect for human dignity, liberty, democracy,
       equality, the rule of law and respect for human rights and seeks to promote
       commitment to these values in partner countries through dialogue and cooperation.
                                           TITLE II
                    PROGRAMMING AND ALLOCATION OF FUNDS
                                           Article 3
                 General framework for programming and allocating funds
   (1) Measures shall be financed under geographical or thematic programmes, or in the
       context of global initiatives.
       A geographical programme shall encompass cooperation in all appropriate areas of
       activity with partner countries and regions determined on a geographical basis.
       A thematic programme shall encompass a specific area of activity of interest to a
       group of partner countries not determined by geography, or cooperation activities
       addressed to various regions or groups of partner countries, or an international
       operation that is not geographically specific, including multilateral or global
       initiatives to promote the Union's internal policies abroad.
       The Commission shall draw up the geographical and thematic programmes and
       specify their geographical scope
EN                                            16                                             EN
 ---pagebreak---    (2) In the case of geographical programmes, the Commission shall draw up a strategy
       paper and a multiannual indicative programme for each partner country or region, as
       provided for in Article 4, and adopt an action programme for each partner country or
       region, as provided for in Article 7.
       In the case of thematic programmes, the Commission shall draw up thematic strategy
       papers, as provided for in Article 5, and adopt action programmes, as provided for in
       Article 7.
       In exceptional circumstances, Community support may also take the form of special
       measures not covered in strategy papers or multiannual indicative programmes, as
       provided for in Article 8.
   (3) For a geographical programme, the Commission shall determine the multiannual
       indicative fund allocation to be used for financing cooperation with each partner
       country or region. The criteria for establishing the allocation shall be based on the
       needs and performance of the country or region concerned in respect of the
       Community's cooperation policies and strategies, without prejudice to any
       exceptional circumstances or international commitments of the Community. The
       Commission may include a specific financial allocation for the purpose of
       strengthening cooperation between the EU's outermost regions and neighbouring
       partner countries and regions.
                                          Article 4
        Strategy papers and multiannual programming of geographical programmes
   (1) Strategy papers for partner countries and regions shall cover no more than seven
       years in order to provide a coherent framework for coordination between the
       Community and the partner country or region concerned. They provide the basis for
       drafting multiannual programmes.
       Strategy papers shall be reviewed at mid-term, or ad hoc if necessary, in accordance
       where appropriate with the principles and procedures laid down in the partnership
       and cooperation agreements concluded with the partner countries and regions.
   (2) Strategy papers shall be based as far as possible on dialogue with the partner country
       or region which involves civil society, so as to ensure that the county or region
       concerned takes sufficient ownership of the process and to encourage support for
       national development strategies, particularly those for reducing poverty.
   (3) Multiannual indicative programmes shall be drawn up on the basis of the strategy
       papers for each partner country or region. They shall be the subject of an agreement
       with the country or region where possible.
       Multiannual indicative programmes shall set out the priority areas selected for
       Community financing, the specific objectives, the expected results and the
       performance indicators.
       The programmes shall also set out the indicative financial allocation, both overall
       and per priority area, this may be given in the form of a range, where appropriate.
EN                                           17                                               EN
 ---pagebreak---        Such programmes shall be adjusted where necessary, taking into account any mid-
       term or ad hoc reviews of strategy papers.
       In exceptional circumstances a multiannual indicative allocation may be increased or
       decreased, particularly in the light of special needs such as those of a post-crisis
       situation, or where performance has been exceptional.
   (4) In circumstances such as crises, post-conflict situations or threats to democracy, the
       rule of law, human rights or fundamental freedoms, a special emergency procedure
       may be used to conduct an ad hoc review of the country's or region's cooperation
       strategy. Such reviews may propose a country or region strategy to make the
       transition to long-term cooperation and development. The strategy shall ensure that
       measures taken under this Regulation are consistent with other Community
       instruments, in particular the stability instrument and humanitarian aid. Where
       partner countries or groups of partner countries are directly involved in, or affected
       by, a crisis or post-crisis situation, multiannual programming shall place special
       emphasis on stepping up coordination between relief, rehabilitation and development
       to help them make the transition from an emergency situation to the development
       phase; programmes for countries and regions regularly subject to natural disasters
       shall provide for disaster preparedness and prevention.
   (5) The Commission and the Member States shall consult each other in order to ensure
       that their cooperation activities complement each other. Other donors and
       development actors, including those of civil society, shall be associated in this
       process as early as appropriate.
                                           Article 5
          Strategy papers and multiannual programming of thematic programmes
   (1) Thematic strategy papers shall cover no more than seven years. They shall set out the
       Community's strategy for the theme concerned, the Community's priorities, the
       international situation and the activities of the main partners.
       The Commission shall ensure consistency between thematic and geographical
       programmes by checking that the operations implemented through thematic
       programmes are consistent with the strategy papers and multiannual indicative
       programmes drawn up for the partner countries or regions.
       Thematic strategy papers shall set out the priority areas selected for financing by the
       Community, the specific objectives, the expected results and the performance
       indicators.
       The thematic strategy papers shall also give the indicative financial allocation, both
       overall and per priority area; this may be given in the form of a range, where
       appropriate.
       Strategy papers shall be reviewed at mid-term, or ad hoc if necessary.
EN                                             18                                              EN
 ---pagebreak---    (2)      The Commission and the Member States shall consult each other in order to ensure
            that their cooperation activities complement each other. Other donors and actors,
            including those of civil society, shall be associated in this process as early as
            appropriate.
   (3)      Resources and intervention priorities shall be laid down for participation in global
            initiatives.
                                              Article 6
                           Adoption of multiannual programming papers
   The strategy papers and multiannual indicative programmes referred to in Articles 4 and 5,
   and any reviews thereof referred to in Article 4(1) and (3) and Article 5(1), shall be adopted
   by the Commission in accordance with the management procedure set out in Article 21(2).
                                              TITLE III
                                       IMPLEMENTATION
                                              Article 7
                                   Adoption of action programmes
   (1)      The Commission shall adopt annual action programmes based on the strategy papers
            and multiannual indicative programmes referred to in Articles 4 and 5.
            Exceptionally, for instance where an action programme has not yet been adopted, the
            Commission may, on the basis of the strategy papers and multiannual indicative
            programmes referred to in Articles 4 and 5, adopt measures not provided for in an
            action programme under the same rules and procedures as for action programmes.
   (2)      Action programmes shall specify the objectives pursued, the fields of intervention,
            the expected results, the management procedures and total amount of financing
            planned. They shall contain a description of the operations to be financed, an
            indication of the amounts allocated for each operation and an indicative
            implementation timetable.
   (3)      The Commission shall send action programmes to the Member States for their
            information within one month of adopting its decision.
EN                                               19                                               EN
 ---pagebreak---                                                Article 8
   Adoption of special measures not provided for in the strategy papers or multiannual indicative
                                             programmes
   (1)    In the event of unforeseen needs or circumstances, the Commission shall adopt
          special measures not provided for in the strategy papers or multiannual indicative
          programmes (hereinafter referred to as “special measures”).
          Special measures may also be used to fund measures to ease the transition from
          emergency aid to long-term development operations, including those to better
          prepare people to deal with recurring crises.
   (2)    Where the cost of such measures exceeds EUR 15 million, the Commission shall
          adopt them under the consultation procedure referred to in Article 21(3).
   (3)    Special measures shall specify the objectives pursued, the intervention areas, the
          expected results, the management procedures and the total amount of financing. They
          shall contain a description of the operations to be financed, an indication of the
          amounts allocated for each operation and the indicative timetable for their
          implementation.
   (4)    The Commission shall send the special measures to the Member States for their
          information within one month of adopting its decision.
   (5)    The procedure laid down in Article 21(3) need not be used for amendments to special
          measures, such as those making technical adjustments, extending the implementation
          period, reassigning funds within the forecast budget, or increasing or reducing the
          size of the budget by less than 20% of the initial budget, provided these amendments
          do not affect the initial objectives set out in the Commission decision.
                                               Article 9
                                              Eligibility
   (1)    The following, inter alia, shall be eligible for funding under this Regulation for the
          purposes of implementing the action programmes referred to in Article 7 or specific
          measures of the kind referred to in Article 8:
          (a)    partner countries and regions, and their institutions;
          (b)    decentralised bodies in the partner countries, such as regions, departments,
                 provinces and municipalities;
          (c)    joint bodies set up by the partner countries and regions with the Community;
          (d)    international organisations, including regional organisations, UN bodies,
                 departments and missions, international financial institutions and development
                 banks, in so far as they contribute to the objectives of this Regulation;
EN                                                20                                              EN
 ---pagebreak---             (e)    Community institutions and bodies, but only for the purposes of implementing
                   support measures of the type referred to in Article 11;
            (f)    European Union agencies;
            (g)    The following entities and bodies of the Member States, partner countries and
                   regions and any other third country complying with the rules on access to the
                   Community's external assistance set out in Article 16, insofar as they are
                   helping to achieve the objectives of this Regulation:
                   i.    public or parastatal bodies, local authorities and consortia thereof;
                   ii.   companies, firms and other private organisations and businesses;
                   iii.  financial institutions that grant, promote and finance private investment
                         in partner countries and regions;
                   iv.   non-state actors as defined in paragraph 2;
                   v.    natural persons.
   (2)      The non-state actors eligible for financial support under this Regulation include:
            non-governmental organisations, organisations representing indigenous peoples,
            local traders' associations and citizens' groups, cooperatives, trade unions,
            organisations representing economic and social interests, local organisations
            (including networks) involved in decentralised regional cooperation and integration,
            consumer organisations, women's and youth organisations, teaching, cultural,
            research and scientific organisations, universities, churches and religious associations
            and communities, the media and any non-governmental associations and independent
            foundations likely to contribute to development or the external dimension of internal
            policies.
                                                Article 10
                                            Types of financing
   Financing for the implementation of action programmes and special measures may in
   particular take the following forms:
   (a)      projects and programmes;
   (b)      sectoral or general budget support if the partner country's management of public
            spending is sufficiently transparent, reliable and effective, and where it has put in
            place properly formulated sectoral or macroeconomic policies approved by its
            principal donors, including, where relevant, the international financial institutions;
   (c)      sectoral support;
   (d)      in exceptional cases, sectoral and general import programmes, which may take the
            form of (a) sectoral import programmes in kind, (b) sectoral import programmes
            providing foreign exchange to finance imports for the sector in question or (c)
EN                                                  21                                               EN
 ---pagebreak---        general import programmes providing foreign exchange to finance general imports of
       a wide range of products;
   (e) funds made available to the European Investment Bank or other financial
       intermediaries on the basis of Commission programmes for the purpose of providing
       loans (in particular to support investment in and development of the private sector),
       risk capital (in the form of subordinated or conditional loans) or other temporary
       minority holdings in business capital, and contributions to guarantee funds in
       accordance with Article 18;
   (f) interest-rate subsidies, especially for environment-related loans;
   (g) debt-relief programmes;
   (h) grants to finance projects submitted by entities of the type listed in Article 9(1)(b),
       (c), (d), (f) and (g)(i) to (v);
   (i) grants to finance the operating costs of entities of the type listed in Article 9(1)(b),
       (c), (d), (f) and (g)(i), (iii) and (iv);
   (j) funding for twinning programmes between public institutions, national public bodies
       or private-law entities entrusted with public service tasks of a Member State and
       those of a partner country or region;
   (k) contributions to international funds, such as those managed by international or
       regional organisations;
   (l) contributions to national funds set up by partner countries and regions to attract joint
       financing from a number of donors, or contributions to funds set up by one or more
       donors for the purpose of the joint implementation of projects;
   (m) capital investments in international financial institutions and regional development
       banks;
   (n) human and material resources required for effective administration and supervision
       of projects and programmes by partner countries and regions.
                                              Article 11
                                          Support measures
   (1) Community financing may cover expenditure associated with the preparation,
       follow-up, monitoring, audit and evaluation activities directly necessary for the
       implementation of this Regulation and the achievement of its objectives, e.g. studies,
       meetings, information, awareness-raising, training and publication activities,
       expenditure associated with computer networks for the exchange of information, and
       any other administrative or technical assistance expenditure that the Commission
       may incur for the management of the programme. It shall also cover expenditure at
       Commission Delegations on the administrative support needed to manage operations
       financed under this Regulation.
EN                                                22                                            EN
 ---pagebreak---    (2) These support measures are not necessarily covered by multiannual programming
       and may therefore be financed outside the scope of strategy papers and multiannual
       indicative programmes. However, they may also be financed under multiannual
       indicative programmes.
       The Commission shall adopt support measures not covered by the multiannual
       indicative programmes in accordance with Article 8.
                                           Article 12
                                         Cofinancing
   (1) Measures shall be eligible for cofinancing from the following, inter alia:
       (a)    Member States, and in particular their public and parastatal agencies;
       (b)    other donor countries, and in particular their public and parastatal agencies;
       (c)    international organisations, including regional organisations, and in particular
              international and regional financial institutions;
       (d)    companies, firms, other private organisations and businesses, and other non-
              state actors;
       (e)    partner countries and regions in receipt of funding.
   (2) In the case of parallel cofinancing, the project or programme is split into a number of
       clearly identifiable subprojects which are each financed by the different partners
       providing cofinancing in such a way that the end-use of the financing can always be
       identified.
       In the case of joint cofinancing, the total cost of a project or programme is shared
       between the partners providing the cofinancing and the resources are pooled in such
       a way that it is no longer possible to identify the source of financing for any given
       activity undertaken as part of the project or programme.
   (3) In the case of joint cofinancing, the Commission may receive and manage funds on
       behalf of the bodies referred to in paragraph 1(a), (b) and (c) for the purpose of
       implementing joint measures. Such funds shall be treated as assigned revenue, in
       accordance with Article 18 of Regulation (EC) No 1605/2002.
                                           Article 13
                                   Management procedures
   (1) The measures financed under this Regulation shall be implemented in accordance
       with Regulation (EC) No 1605/2002.
EN                                             23                                              EN
 ---pagebreak---    (2) In the event of cofinancing and in other duly justified cases, the Commission may
       entrust tasks of public authority, and in particular budget implementation tasks, to the
       bodies referred to in Article 54(2)(c) of Regulation (EC) No 1605/2002.
   (3) In the case of decentralised management, the Commission may decide to use the
       procurement or grant procedures of the beneficiary partner country or region,
       provided:
       – the procedures of the beneficiary partner country or region satisfy the principles of
          transparency, proportionality, equal treatment and non-discrimination and prevent
          any conflict of interests;
       – the beneficiary partner country or region undertakes to check regularly that the
          operations financed by the Community budget have been properly implemented,
          to take appropriate measures to prevent irregularities and fraud, and, if necessary,
          to take legal action to recover unduly paid funds.
                                          Article 14
                                     Budget commitments
   (1) Budget commitments shall be made on the basis of decisions taken by the
       Commission in accordance with Articles 7(1), 8(1) and 11(2).
   (2) Community financing may take one of the following legal forms, inter alia:
       – financing agreements;
       – grant agreements;
       – procurement contracts;
       – employment contracts.
                                          Article 15
                       Protecting the Community's financial interests
   (1) Any agreements resulting from this Regulation shall contain provisions ensuring the
       protection of the Community’s financial interests, in particular with respect to fraud,
       corruption and any other irregularities, in accordance with Council Regulations (EC,
       Euratom) Nos 2988/1995, 2185/1996 and 1073/1999.
   (2) Agreements shall expressly entitle the Commission and the Court of Auditors to
       perform a document audit or an on-the-spot audit of any contractor or subcontractor
       who has received Community funds. They shall also expressly authorise the
       Commission to carry out on-the-spot checks and inspections as provided for in
       Regulation (EC, Euratom) No 2185/1996.
EN                                            24                                                EN
 ---pagebreak---    (3) All contracts resulting from the implementation of assistance shall ensure the rights
       of the Commission and the Court of Auditors under paragraph 2 during and after the
       performance of the contracts.
                                          Article 16
          Public procurement procedures, grant award procedures, rules of origin
   (1) For the purposes of implementing the action programmes referred to in Article 7 and
       the special measures referred to in Article 8, participation in public procurement
       procedures and grant award procedures shall be open to the following:
       – for a thematic programme of the type provided for in Article 3(1), any natural or
          legal person of a developing country or country in transition, as defined by the
          OECD, and of any other country eligible under the thematic programme;
       – for a geographical programme of the type provided for in Article 3(1), any natural
          or legal person of a developing country or country in transition, as defined by the
          OECD, eligible under the geographical programme;
       – in all cases, any natural or legal person of the Member States of the European
          Community, the Member States of the European Economic Area, the countries
          eligible for Community assistance under the pre-accession instrument and any
          other third country, subject to fulfilment of the condition of reciprocity set out in
          paragraph 2.
   (2) If a third country authorises natural and legal persons of the Member States to
       participate in its public procurement and grant award procedures for its cooperation
       programmes, the Commission may decide to authorise participation by natural and
       legal persons of that country in the corresponding European Community procedures.
       The Commission shall take the decision to grant such access after first obtaining the
       opinion of the committee established under Article 21. The committee shall base its
       opinion on a report analysing the grounds for, and conditions and impact of, such
       access, and shall act in accordance with the management procedure set out in
       Article 21(2).
       A decision to grant access may apply to all types of Community aid, to one or more
       thematic or geographical programmes or to one or more partner countries and
       regions and may be restricted to particular areas of cooperation. The decision shall be
       valid for not less than one year.
   (3) If measures financed under this Regulation are implemented on a centralised basis
       and indirectly by Member State bodies or Member State entities governed by private
       law and entrusted with public-service tasks, or on a decentralised basis under the
       responsibility of partner countries or regions in receipt of funding or by delegation to
       international or regional organisations, particularly international financial
       institutions, participation in the public procurement and grant award procedures of
       the managing entity shall be open to natural and legal persons of the countries having
       access to Community contracts and grants in accordance with the principles set out in
EN                                            25                                                EN
 ---pagebreak---             paragraphs 1 and 2, and of any other country eligible under the rules and procedures
            of the managing entity.
   (4)      The origin of supplies and equipment purchased under a contract for the
            implementation of measures taken under this Regulation shall be in accordance with
            the principles set out in paragraphs 1, 2 and 3.
   (5)      If in exceptional circumstances, particularly in an extreme emergency, services,
            supplies or equipment are not available in a country having access to Community
            contracts, or if the rules on eligibility for the contracts are such as to make it
            impossible or excessively difficult to carry out a project or programme, the
            Commission may decide to:
            – extend access to contracts to natural and legal persons of a country not eligible
                under paragraph 1;
            – authorise the purchase of supplies and equipment originating in a country not
                eligible under paragraph 1.
                                               Article 17
                                             Prefinancing
   Interest generated by prefinancing payments to beneficiaries shall be deducted from the final
   payment.
                                               Article 18
       Funds made available to the European Investment Bank or other financial intermediaries
   (1)      The funds referred to in Article 10(d) shall be managed by financial intermediaries,
            the European Investment Bank or any other bank or organisation with the capacity to
            manage such funds.
   (2)      The Commission must adopt implementing provisions for paragraph 1 on a case-by-
            case basis to cover risk-sharing, the remuneration of the intermediary responsible for
            implementation, the use and recovery of profits on funds, and the closure of the
            operation.
                                               Article 19
                                              Evaluation
   (1)      The Commission shall regularly evaluate the results of geographical and thematic
            policies and programmes and of sectoral policies and the effectiveness of
            programming in order to ascertain whether the objectives have been met and enable
            it to formulate recommendations with a view to improving future operations.
EN                                                 26                                              EN
 ---pagebreak---    (2) The Commission shall send its evaluation reports to the committee referred to in
       Article 21 for information.
                                          TITLE IV
                                   FINAL PROVISIONS
                                          Article 20
                                        Annual report
   (1) The Commission shall examine the progress made in implementing the measures
       taken under this Regulation and shall submit to the European Parliament and the
       Council an annual report on the implementation of the assistance. This report shall
       also be submitted to the European Economic and Social Committee and to the
       Committee of the Regions.
   (2) It shall contain information relating to the previous year on the measures financed,
       the results of monitoring and evaluation exercises, and the implementation of budget
       commitments and payments, broken down by country, region and cooperation sector.
                                          Article 21
                                         Committee
   (1) The Commission shall be assisted by a committee.
   (2) Where reference is made to this paragraph, Articles 4 and 7 of Decision
       1999/468/EC shall apply, in accordance with Article 8 of that Decision. The period
       provided for in Article 4(3) of the Decision shall be 30 days.
   (3) Where reference is made to this paragraph, Articles 3 and 7 of Decision
       1999/468/EC shall apply, in accordance with Article 8 of that Decision.
   (4) The committee shall adopt its rules of procedure. These rules shall include provision
       for the Commission to adopt the specific measures referred to in Article 8(2).
   (5) A representative from the European Investment Bank shall be present at the
       committee's proceedings.
                                          Article 22
             Participation by a third country not eligible under this Regulation
   (1) To ensure the coherence and effectiveness of Community assistance, the
       Commission may decide when adopting action programmes of the type referred to in
       Article 7 or the special measures referred to in Article 8 that countries, territories and
       regions eligible for Community assistance under the pre-accession instrument or the
       European Neighbourhood and Partnership Instrument and the overseas countries and
EN                                            27                                                  EN
 ---pagebreak---             territories associated with the Community are eligible for measures under this
            Regulation where the geographical or thematic project or programme to be
            implemented is of a global, regional or crossborder nature. Provision may be made
            for this method of financing in the strategy papers and multiannual indicative
            programmes referred to in Articles 4 and 5. The provisions Article 9 concerning
            eligibility and the provisions of Article 16 concerning participation in public
            procurement and grant award procedures and rules of origin shall be adapted to allow
            the countries, territories and regions concerned to take part.
   (2)      In the case of global initiatives for sustainable development or in support of global
            public goods implemented through multilateral mechanisms, the Commission may
            provide financial assistance under this Regulation. In such cases eligibility for
            financing is extended to all countries receiving assistance under the global initiative.
                                                Article 23
                                         Suspension of assistance
   Without prejudice to the provisions on suspension of aid in partnership and cooperation
   agreements with partner countries and regions, where a partner country fails to observe the
   principles referred to in Title I, the Council, acting by a qualified majority on a proposal from
   the Commission, may take appropriate steps in respect of any assistance granted to the partner
   country under this Regulation.
                                                Article 24
                                           Financial provisions
   (1)      The financial reference amount for implementation of this Regulation over the period
            2007-2013 is €44 229 million, €23 572 million of which shall be for financing
            geographical cooperation with the African, Caribbean and Pacific countries,
            excluding South Africa and East Timor.
   (2)      Annual appropriations shall be authorised by the budgetary authority within the
            limits of the financial perspectives.
                                                Article 25
                                                 Review
   The Commission shall submit to the European Parliament and the Council by
   31 December 2011 any proposals concerning the future of this Regulation and any
   amendments that may be necessary.
EN                                                  28                                               EN
 ---pagebreak---                                         Article 26
   (1) The following Regulations shall be repealed as of 1 January 2007:
       (a)  Regulation No 1568/2003 of the European Parliament and of the Council of 15
            July 2003 on aid to fight poverty diseases (HIV/AIDS, tuberculosis and
            malaria) in developing countries
       (b)  Regulation No 1567/2003 of the European Parliament and of the Council of 15
            July 2003 on aid for policies and actions on reproductive and sexual health and
            rights in developing countries
       (c)  Regulation (EC) No 2493/2000 of the European Parliament and of the Council
            of 7 November 2000 on measures to promote the full integration of the
            environmental dimension in the development process of developing countries
       (d)  Regulation (EC) No 2494/2000 of the European Parliament and of the Council
            of 7 November 2000 on measures to promote the conservation and sustainable
            management of tropical forests and other forests in developing countries
       (e)  Council Regulation (EC) No 975/1999 of 29 April 1999 laying down the
            requirements for the implementation of development cooperation which
            contribute to the general objective of developing and consolidating democracy
            and the rule of law and to that of respecting human rights and fundamental
            freedoms
       (f)  Regulation (EC) No 806/2004 of the European Parliament and of the Council
            of 21 April 2004 on promoting gender equality in development cooperation
       (g)  Council Regulation (EC) No 1659/98 of 17 July 1998 on decentralised
            cooperation, as amended and extended by Regulations 995/2002 and 625/2004
       (h)  Council Regulation (EC) No 1658/98 of 17 July 1998 on cofinancing
            operations with European non-governmental organisations (NGOs) in fields of
            interest to the developing countries
       (i)  Council Regulation (EC) N° 1292/96 of 27 June 1996 on food-aid policy and
            food-aid management and special operations in support of food security, as
            amended by Regulation (EC) No 1726/2001 of the European Parliament and of
            the Council of 23 July 2001 amending Article 21 of Council Regulation (EC)
            No 1292/96 on food-aid policy and food-aid management and special
            operations in support of food security
       (j)  Council Regulation (EC) No 382/2001 of 26 February 2001 concerning the
            implementation of projects promoting cooperation and commercial relations
            between the European Union and the industrialised countries of North
            America, the Far East and Australasia and repealing Regulation (EC) No
            1035/1999
EN                                          29                                              EN
 ---pagebreak---             (k)   Regulation (EC) No 1726/2000 of the European Parliament and of the Council
                  of 29 June 2000 on development cooperation with South Africa
            (l)   Council Regulation (EEC) No 443/92 of 25 February 1992 (ALA) on financial
                  and technical assistance to, and economic cooperation with, the developing
                  countries in Asia and Latin America
            (m) Council Regulation (EC) No 2258/96 of 22 November 1996 on rehabilitation
                  and reconstruction operations in developing countries
            (n)   Regulation (EC) No 2130/2001 of the European Parliament and of the Council
                  of 29 October 2001 on operations to aid uprooted people in Asia and Latin
                  American developing countries
            (o)   Council Regulation (EC) No 550/97 of 24 March 1997 on HIV/AIDS related
                  operations in developing countries
            (p)   Council Regulation (EC) No 1484/97 of 22 July 1997 on aid for population
                  policies and programmes in developing countries.
   (2)      The repealed Regulations shall continue to apply for legal acts and commitments of
            pre-2007 budget years.
                                               Article 27
   This Regulation shall enter into force on the twentieth day following that of its publication in
   the Official Journal of the European Union. It shall apply from 1 January 2007.
   This Regulation shall be binding in its entirety and directly applicable in all Member States.
   Done at Brussels, […]
   For the European Parliament                   For the Council
   The President                                 The President
   […]                                           […]
EN                                                 30                                               EN
 ---pagebreak---                                  FICHE FINANCIÈRE LÉGISLATIVE
   Domaine(s) politique(s): Relations extérieures
                                 Développement et Relations avec les Etats ACP
                                 Aspects extérieurs des politiques internes
   Activité(s):                  Relations avec l’Europe de l’Est, le Caucase et les Républiques
                                 d’Asie Centrale (en partie)24
                                 Relations avec le Moyen-Orient et la Méditerranée du Sud (en
                                 partie)25
                                 Relations avec l’Asie
                                 Relations avec l’Amérique Latine
                                 Droits de l’Homme et Démocratisation
                                 Relations multilatérales et domaines généraux des relations
                                 extérieures (en partie)26
                                 Relations avec l’Afrique Sub-saharienne, les Caraïbes, le Pacifique
                                 et l’Océan Indien
                                 Politique de coopération au Développement et stratégies
                                 sectorielles
                                 Relations avec les pays de l’OCDE non membres de l’Union
                                 européenne
                                 Aspects extérieurs de la politique de l’environnement et des autres
                                 politiques internes
   DÉNOMINATION DE L’ACTION:             FINANCEMENT DE LA COOPÉRATION AU DÉVELOPPEMENT ET
                                         DE LA COOPÉRATION ÉCONOMIQUE AVEC LES ETATS TIERS
   1.       LIGNE(S) BUDGÉTAIRE(S) + INTITULÉ(S)
   Activités actuellement couvertes par les Fonds européens de développement27
   Et sous réserve de certaines activités relevant de l’instrument de stabilité :
   Dépenses administratives28
   07 01 04 06 - Participation aux activités internationales en matière d'environnement —
   Dépenses pour la gestion administrative
   06 01 04 09 - Intelligent energy - Expenditure on administrative management (in part)
   24
          En partie car seules les activités de coopération avec les Républiques d’Asie Centrale relèvent de ce
          Règlement.
   25
          En partie car seules les activités de coopération avec les Pays du Golfe, le Yèmen, l’Irak et l’Iran
          relèvent de ce Règlement.
   26
          En partie car les opérations de déminage relèvent de l’instrument de stabilité.
   27
          A l’exception de celles relevant de l’instrument de stabilité ou des aides humanitaires ou d’urgence.
   28
          Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de
          voisinage et de partenariat (« en partie »).
EN                                                      31                                                      EN
 ---pagebreak---    07 01 04 05 - LIFE (European Financial Instrument for the Environment — 2000 to 2006) —
   Operations outside Community territory — Expenditure on administrative management (in
   part)
   19 01 04 01 - Coopération avec les pays tiers industrialisés - Dépenses pour la gestion
   administrative
   19 49 04 01 — Coopération avec les pays tiers industrialisés — Dépenses pour la gestion
   administrative
   19 01 04 04 - Coopération financière et technique avec les pays en développement d´Asie -
   Dépenses de gestion administrative
   19 49 04 04 - Coopération financière et technique avec les pays en développement d´Asie -
   Dépenses de gestion administrative
   19 01 04 05 - Coopération financière et technique avec les pays en développement
   d´Amérique latine - Dépenses de gestion administrative
   19 49 04 05 - Coopération financière et technique avec les pays en développement
   d´Amérique latine - Dépenses de gestion administrative
   19 01 04 07 - Assistance aux Etats partenaires d´Europe orientale et d´Asie centrale -
   Dépenses de gestion administrative (en partie)
   19 49 04 06 - Assistance aux Etats partenaires d´Europe orientale et d´Asie centrale -
   Dépenses de gestion administrative (en partie)
   19 01 04 11 - Développement et consolidation de la démocratie et de l´État de droit - Respect
   des droits de l´homme et des libertés fondamentales - Dépenses de gestion administrative (en
   partie)
   19 49 04 10 - Développement et consolidation de la démocratie et de l´État de droit - Respect
   des droits de l´homme et des libertés fondamentales - Dépenses de gestion administrative (en
   partie)
   19 01 04 12 - Promotion de l´investissement communautaire dans les pays en développement
   d´Amérique latine, d´Asie, de la Méditerranée et en Afrique du Sud, dans le cadre des accords
   de coopération économique et commerciale - Dépenses de gestion administrative (en partie)
   19 49 04 11 - Promotion de l´investissement communautaire dans les pays en développement
   d´Amérique latine, d´Asie, de la Méditerranée et en Afrique du Sud, dans le cadre des accords
   de coopération économique et commerciale - Dépenses de gestion administrative (en partie)
   21 01 04 01 - Autres aides en produits, actions d´appui et transport, distribution, mesures
   d´accompagnement et de contrôle de la mise en oeuvre - Dépenses de gestion administrative
   21 49 04 01 - Autres aides en produits, actions d´appui et transport, distribution, mesures
   d´accompagnement et de contrôle de la mise en oeuvre - Dépenses de gestion administrative
   21 01 04 02 - Autres actions de coopération et stratégies sectorielles - Dépenses de gestion
   administrative
EN                                              32                                               EN
 ---pagebreak---    21 49 04 02 - Autres actions de coopération et stratégies sectorielles - Dépenses de gestion
   administrative
   21 01 04 05 - Programme européen pour la reconstruction et le développement (PERD) -
   Dépenses de gestion administrative
   21 49 04 05 - Programme européen pour la reconstruction et le développement (PERD) -
   Dépenses de gestion administrative
   Relations multilatérales29
   19 02 03 - Coopération avec les pays tiers sur les migrations (en partie)
   19 02 07 - Promotion de l´investissement communautaire dans les pays en développement
   d´Amérique latine, d´Asie, de la Méditerranée et en Afrique du Sud, dans le cadre des accords
   de coopération économique et commerciale (en partie)
   19 02 11 - Programme de coopération Nord-Sud dans la lutte contre les drogues et la
   toxicomanie (en partie)
   Droits de l’Homme30
   19 04 02 - Aide aux victimes de violations de droits de l'homme (en partie)
   19 04 03 - Développement et consolidation de la démocratie et de l´État de droit - Respect des
   droits de l´homme et des libertés fondamentales (en partie)
   19 04 04 - Soutien aux activités des tribunaux pénaux internationaux et à la mise en place de
   la Cour pénale international (en partie)
   Pays industrialisés
   19 05 02 - Coopération avec les pays tiers industrialisés
   Europe de l’Est, Caucase et Républiques d’Asie Centrale31
   19 06 01 - Assistance aux Etats partenaires d´Europe orientale et d´Asie centrale (en partie)
   19 06 02 - Coopération transfrontalière dans le domaine structurel (en partie)
   19 06 04 - Action de réhabilitation et de reconstruction en faveur des États partenaires
   d´Europe orientale et d´Asie centrale (en partie)
   29
           Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de
           voisinage et de partenariat (« en partie »).
   30
           Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de
           voisinage et de partenariat (« en partie »).
   31
           Sous réserve des activités relevant de l’instrument européen de voisinage et de partenariat (« en
           partie »).
EN                                                      33                                                    EN
 ---pagebreak---    Moyen-Orient et Méditerranée du Sud32
   19 08 05 - Actions de réhabilitation et de reconstruction en faveur des pays méditerranéens et
   du Proche- et du Moyen Orient (en partie)
   19 08 06 - Autres interventions au bénéfice des pays en développement du Proche- et du
   Moyen-Orient (en partie)
   19 08 07 - Aide à la réhabilitation et reconstruction de l'Iraq
   Amérique Latine
   19 09 01 - Coopération financière et technique avec les pays en développement d´Amérique
   latine
   19 09 02 - Coopération politique, économique et culturelle avec les pays en développement
   d'Amérique latine
   19 09 03 - Aide aux populations déracinées dans les pays d´Amérique latine
   19 09 04 - Actions de réhabilitation et de reconstruction en faveur des pays en développement
   d´Amérique latine
   Asie
   19 10 01- Coopération financière et technique avec les pays en développement d´Asie
   19 10 02 - Coopération politique, économique et culturelle avec les pays en développement
   d'Asie
   19 10 03 - Aide aux populations déracinées dans les pays d´Asie
   19 10 04 - Actions de réhabilitation et de reconstruction en faveur des pays en développement
   d´Asie
   19 10 06 - Aide à la réhabilitation et reconstruction de l'Afghanistan
   Stratégies sectorielles
   07 02 01 Participation aux activités internationales en matière d'environnement
   06 04 02         Intelligent energy — Europe programme (2003 to 2006): external strand —
   Coopener (in part)
   07 02 02- LIFE (European Financial Instrument for the Environment — 2000 to 2006 —
   Operations outside Community territory (in part)
   21 02 01 - Produits à mobiliser au titre de la convention relative à l´aide alimentaire
   32
          Sous réserve des activités relevant de l’instrument européen de voisinage et de partenariat (« en
          partie »).
EN                                                    34                                                    EN
 ---pagebreak---    21 02 02 - Autres aides en produits, actions d´appui et transport, distribution, mesures
   d´accompagnement et de contrôle de la mise en oeuvre
   21 02 03 - Participation communautaire à des actions en faveur de pays en développement
   exécutées par des organisations non gouvernementales
   21 02 05 - Environnement dans les pays en développement
   21 02 06 - Intégration des questions de genre dans la coopération au développement
   21 02 07 02 - Lutte contre les maladies dues à la pauvreté (VIH/sida, paludisme et
   tuberculose) dans les pays en développement
   21 02 07 03 - Aide aux populations et soins de santé en matière de procréation
   21 02 07 04 - Lutte contre les maladies dues à la pauvreté, autres que le VIH/sida, le
   paludisme et la tuberculose, dans les pays en développement
   21 02 08 - Aide à l'éducation fondamentale dans les pays en développement
   21 02 12 - Intégration des droits de l'enfant dans la coopération au développement
   21 02 13 - Coopération décentralisée
   21 02 14 - Constitution de capacités dans le domaine des technologies de l'information et des
   communications et dans le domaine de l'énergie durable
   21 02 17 - Coopération culturelle avec les pays en développement
   Etats ACP
   21 03 01 — Aide programmable – États ACP
   21 03 02 — Ajustement structurel, y compris les pays pauvres lourdement endettés (PPLE) —
   États ACP
   21 03 03 — Stabex — États ACP
   21 03 04 — Sysmin — États ACP
   21 03 05 — Capitaux à risque — États ACP
   21 03 06 — Bonifications d'intérêts — États ACP
   21 03 07 — Aides d'urgence — États ACP
   21 03 08 — Aides aux réfugiés — États ACP
   21 03 09 — Aide programmable — Pays et territoires d'outre-mer (PTOM
EN                                                 35                                            EN
 ---pagebreak---    21 03 10 — Ajustement structurel, y compris les pays pauvres lourdement endettés (PPLE) —
   PTOM
   21 03 11 — Stabex — PTOM
   21 03 12 — Sysmin — PTOM
   21 03 13 — Capitaux à risque — PTOM
   21 03 14 — Bonifications d'intérêts — PTOM
   21 03 15 — Aides d'urgence — PTOM
   21 03 16 — Aides aux réfugiés — PTOM
   21 03 17 - Programme européen pour la reconstruction et le développement (PERD)
   21 03 19 - Assistance aux producteurs traditionnels de rhum ACP dans les domaines du
   développement et de la diversification des marchés
   21 03 20 - Action de réhabilitation et de reconstruction en faveur des pays en voie de
   développement, notamment les Etats ACP
   2.        DONNÉES CHIFFRÉES GLOBALES
   2.1       Enveloppe totale de l’action (partie B): 44 229 millions d'euros en CE
   2.2       Période d’application: 2007-2013
   2.3       Estimation globale pluriannuelle des dépenses: (prix courant)
   a)        Échéancier crédits d'engagement/crédits de paiement (intervention financière)
             (cf. point 6.1.1)
                                                                 Millions d'euros (à la 3e décimale)
                                                                                      2013 +
                                2007    2008      2009     2010      2011     2012              Total
                                                                                      suivan
                                                                                        tes
       Crédits d'engagement    2.364    5.770    6.169     6.621    6.917     7.172    7.446   42.459
       Crédits de paiement       284    1.283    2.608     3.801    4.942     5.831   23.710   42.459
   b1)       Assistance technique et administrative : personnel (cf. point 6.1.2)
       Crédits d'engagement      53     130        142      155       165      175      185     1.005
       Crédits de paiement       53     130        142      155       165      175      185     1.005
EN                                                36                                                  EN
 ---pagebreak---    b2)       Assistance technique et administrative : dépenses d’appui (DDA) (cf. point 6.1.2)
       Crédits d'engagement       45       111      115      121      124      124     125     765
       Crédits de paiement        45       111      115      121      124      124     125     765
           Sous-total a+b
       Crédits d'engagement     2.462     6.011    6.426    6.897    7.206    7.471   7.756  44.229
       Crédits de paiement       382      1.524    2.865    4.077    5.231    6.130  24.020  44.229
   * “années suivantes” ne s’appliquent qu’aux paiements
   c)        Incidence financière globale des ressources humaines et autres dépenses de
             fonctionnement (cf. points 7.2 et 7.3)
       CE/CP                     122       303      330      361      386      408     431    2.341
          TOTAL a+b2+c
       Crédits d'engagement     2.531     6.184    6.614    7.103    7.427    7.704   8.002  45.565
       Crédits de paiement       451      1.697    3.053    4.283    5.452    6.363  24.266  45.565
   2.4       Compatibilité avec la programmation financière et les perspectives financières
             Proposition compatible avec la programmation financière prévue pour la période
             2007-2013.
   2.5       Incidence financière sur les recettes
             Aucune implication sur les recettes.
   3.        CARACTÉRISTIQUES BUDGÉTAIRES
     Nature de la dépense        Nouvelle       Participation     Participation    Rubrique PF
                                                   AELE               pays
                                                                   candidats
       DNO             CD           OUI             NON               NON               4
   4.        BASE JURIDIQUE
             Articles 179 et 181a du traité instituant la Communauté européenne.
EN                                                  37                                              EN
 ---pagebreak---    5.         DESCRIPTION ET JUSTIFICATION
   5.1        Nécessité d'une intervention communautaire
   5.1.1 Objectifs poursuivis
   Coopération avec les pays en voie de développement
   Avec la politique extérieure et de sécurité commune, la politique commerciale et l’assistance
   humanitaire, la politique de développement de la Communauté est un domaine important des
   relations extérieures de l’Union européenne.
   Les objectifs poursuivis par le financement d’activités de coopération au titre du présent
   Règlement sont ceux définis à l’article 177 du traité instituant la Communauté européenne, à
   savoir :
   – le développement économique et social durable des pays en développement et plus
      particulièrement des plus défavorisés d'entre eux ;
   – l'insertion harmonieuse et progressive des pays en développement dans l'économie
      mondiale ;
   – la lutte contre la pauvreté dans les pays en développement.
   En outre, la politique de la Communauté contribue à l'objectif général de développement et de
   consolidation de la démocratie et de l'État de droit, ainsi qu'à l'objectif du respect des droits de
   l'homme et des libertés fondamentales.
   La déclaration conjointe du Conseil et de la Commission de novembre 200033 donne à la
   Communauté un encadrement général pour ses activités de coopération et ses partenariats
   avec les pays en développement ou en transition. C’est ainsi que le principal objectif de la
   politique de coopération au développement de la Communauté est de réduire et
   éventuellement d’éradiquer la pauvreté par un appui au développement économique, social et
   environnemental durable, par l’intégration progressive des pays en développement dans
   l’économie mondiale et par la lutte contre les inégalités. La promotion des droits de l’homme,
   de la démocratie, de l’Etat de Droit, et de la bonne gouvernance fait partie intégrante de la
   politique communautaire de développement. En outre, la Communauté encourage une plus
   grande participation des organisations non gouvernementales, des opérateurs économiques, et
   notamment du secteur privé, et des partenaires sociaux dans les processus de développement.
   La politique communautaire de développement contribue également aux objectifs
   internationaux approuvés dans le contexte des Nations Unies ou au sein d’autres organisations
   internationales compétentes.
   Les objectifs de coopération de la Communauté sont inscrits dans les accords de coopération
   et de partenariat conclus entre la Communauté, ses Etats membres, et les pays et régions
   partenaires. Ils sont déclinés et adaptés en fonction des particularités régionales (les objectifs
   spécifiques par programme de coopération sont repris à la partie 5.2).
   33
            Déclaration du Conseil et de la Commission sur la politique communautaire de développement
            (1348/00) du 10 novembre 2000.
EN                                                  38                                                  EN
 ---pagebreak---    Les objectifs de la politique de développement de la Communauté sont notamment ancrés
   dans les engagements pris par 189 Etats membres des Nations Unies, y inclus tous les Etats
   membres de la Communauté, lors de l’assemblée du millénaire des Nations Unies en
   septembre 2000. Les Etats ont en effet convenu d’un ensemble d’objectifs, dénommés
   Objectifs du Millénaire pour le développement (OMD), et de cibles mesurables pour lutter
   contre la pauvreté, la faim, la maladie, l’analphabétisme, la dégradation de l’environnement et
   la discrimination à l’égard des femmes. La Déclaration du Millénaire a également énoncé
   dans ses grandes lignes un consensus sur la « marche à suivre » qui met l’accent plus
   résolument sur les droits de l’homme, la bonne gouvernance et la démocratie.
   Objectifs du millénaire pour le développement devant être atteints d’ici 2015 :
   – Réduire l’extrême pauvreté et la faim ;
   – Assurer l’éducation primaire pour tous ;
   – Promouvoir l’égalité entre les sexes et l’autonomisation des femmes ;
   – Réduire la mortalité des moins de cinq ans ;
   – Améliorer la santé maternelle ;
   – Lutter contre le VIH/sida, le paludisme et d’autres maladies ;
   – Assurer un environnement durable ;
   – Développer un partenariat mondial pour le développement.
   Atteindre les OMD dépendra largement des politiques mises en œuvre par les pays en voie de
   développement, mais aussi de l’augmentation des ressources allouées à la coopération au
   développement, de l’amélioration de l’efficacité de l’aide et de la mise en place d’un système
   commercial et financier multilatéral ouvert.
   Lors de la Conférence internationale sur le financement du développement qui a eu lieu à
   Monterrey (Mexique) en mars 2002, les pays développés et les pays en développement ont
   commencé d’allouer des ressources et de prévoir des interventions conformément aux
   engagements du millénaire. C’est ainsi que les réformes politiques et économiques soutenues
   par les pays en développement devaient être appuyées par un apport direct du monde
   développé sous forme d’aide, d’échanges commerciaux, d’allègement de la dette et
   d’investissements.
   Les engagements de Barcelone34 qui définissent la contribution de l’Union européenne au
   consensus de Monterrey engagent notamment la Communauté et ses Etats membres à :
   accroître substantiellement leur aide officiel au développement, renforcer la coordination des
   politiques et l’harmonisation des procédures, délier plus avant leur aide, accroître l’aide liée
   au commerce, encourager le règlement de la question des biens publics mondiaux, poursuivre
   l’examen de sources de financement novatrices, favoriser certaines reformes des systèmes
   financiers internationaux et tendre vers l’établissement d’un niveau soutenable d’endettement,
   dans le cadre de l’initiative PPTE. Ces engagements contribuent donc à définir le cadre
   34
           Adoptés par le Conseil européen de Barcelone le 14 mars 2002.
EN                                                     39                                           EN
 ---pagebreak---    général de la politique de développement communautaire, ses objectifs et ses modalités de
   mise en œuvre.
   The development and consolidation of democracy and the rule of law, and respect for human
   rights and fundamental freedoms constitute key objectives of the European Union’s external
   policies. Within the framework of the present Regulation and its geographical scope, the
   European Community will contribute to the implementation of operations advancing respect
   for human rights and fundamental freedoms, promoting and strengthening democratic
   processes, including where appropriate through election observation and assistance, and
   developing and consolidating the rule of law and good governance.
   Coopération avec les pays industrialisés
   The objectives pursued are essentially based on joint policy statements and instruments (joint
   political Declarations, Action Plans, Framework Agreements, New Transatlantic and
   Partnership Agendas…) between the European Union and the partner countries concerned.
   Cooperation initiatives with industrialised non-member countries, by providing an
   underpinning of concrete activities for the bilateral dialogues, aim to contribute to the creation
   of a more favourable environment for the conduct and development of political, economic and
   trade relations between the European Union and these partner countries, thus building
   stronger bilateral links in all relevant areas. This includes the improvement of market access
   and business opportunities for European Union industry on those markets.
   Cooperation objectives with industrialised countries relate more particularly to four main
   action fields: promoting peace, security, democracy and development in the world;
   strengthening bilateral economic and trade relations and contributing to the expansion of
   world trade and economy; responding to global and societal challenges; building bridges
   between people and cultures.
   Multilateral and other cooperation as external aspects of internal policies
   5.1.2 Dispositions prises relevant de l’évaluation ex ante
   The Commission carried out in the second half of 2003 an extensive high-level review of the
   whole range of European Community external instruments, in the context of the preparation
   of its proposals for the new financial perspectives. The Commission established the “Peace
   Group” which was tasked with leading the identification of the future priorities for external
   relations and the instruments needed to serve those priorities. This Group functioned at both
   the level of the external relations Commissioners and the services. It met regularly between
   April and December 2003 and developed the principles, which were set out in the
   Communication “Building our Common Future, Policy Challenges and Budgetary Means of
   the Enlarged Union 2007-2013”35. The need to align objectives and instruments more closely
   to European Union values and interests was identified as being fundamentally important.
   In particular, the “Peace Group” underlined that the European Union’s values, reflected by its
   democratic tradition, social model and integration experience, include human dignity, the rule
   of law, human rights, solidarity, equality between the sexes, adherence to the multilateral
   system of the United Nations and support, within the multilateral economic system, for
   35
           COM(2004) 101 du 10 février 2004.
EN                                                  40                                                EN
 ---pagebreak---    regionalism as a force for development and stability. It emphasised that its interests drive the
   European Union to promote stable international growth founded on sustainable development.
   In this way it guarantees itself increasing outlets and quality jobs on competitive, open and
   regulated markets. Finally, the “Peace Group” recommended that the European Union
   promotes its values and interests by operating simultaneously as a continental power, and as a
   global economic and political player.
   As far as external community instruments are concerned, the “Peace Group” recognised that
   the European Union's co-operation and assistance policy is the result of 50 years of successive
   sedimentation, which results in a multiplication of assistance instruments and a fragmentation
   of aid management both in terms of programming and implementation functions (even if
   recent policy and structural reforms have helped to improve coherence and consistency of the
   European Union's co-operation and assistance policy).
   The “Peace Group” put forward that the European Union’s framework for external assistance
   should be rationalised and simplified by a reduction in the number of legal bases, the number
   of budget lines, and the number of programmes. More precisely, it recommended that:
   – the complex structure of existing aid programs (EDF, ALA, MEDA, TACIS, CARDS,
      etc…) covering a wide range of interventions (peacekeeping and post-crisis operations;
      rehabilitation; economic reforms; projects; human rights programs; budgetary support)
      should be significantly streamlined;
   – European Community and Member States policies and implementation should be
      harmonised.
   Furthermore, the “Peace Group” underlined the following points:
   – Large geographic programmes based on the principles of ownership and partnership with
      partner countries and regions and thematic programmes allowing for policy initiatives by
      the Community should be maintained;
   – Strategy papers, subject to regular reviews, are the right tool to ensure overall policy
      coherence and to respect external policy objectives in the different areas as well as in the
      external aspects of internal policies;
   – Resources should be allocated to partner countries according to expected and measured
      performances and strategy papers process, backed up by stronger analytical capabilities,
      should confront goals and achievements;
   – Performance-based allocations do not mean increased conditionality in the traditional sense
      and the issue of political conditionality should be approached cautiously, on the basis of
      lessons drawn from experience;
   – Though this is not necessarily a solution in each and every case, such concerns for results,
      namely the political and economic reforms in the partner countries, leads the Commission
      to suggest, where possible, moving further financial and technical assistance from projects
      towards sector programmes, budget support and macro-economic financial assistance
      which facilitate both the absorption by the partner country since its own budgetary
      procedures are used, and donors’ co-ordination as well as quick disbursement subject to
      compliance though.
EN                                                41                                                EN
 ---pagebreak---    The current proposal also takes account of the vast literature of work on development, the
   practice of other international and bi-lateral donors, as well as of the principles and objectives
   of the reform of the management of external assistance launched by the Commission in May
   2000.
   5.1.3 Dispositions prises à la suite de l’évaluation ex post
   While the diversity of evaluations undertaken during the last five years to a large extent
   precludes the definition of any single overarching finding, the various sets of results available
   continue to isolate a cluster of key issues.
   These results underline the fact that clearly-defined and realistic objectives, associated with
   agreed criteria for success, remain of great importance for the successful implementation of
   external assistance. At the same time, sensitivity to possible changes in the circumstances and
   capacity of partner organisations will be nurtured through appropriate institutional support,
   policy dialogue and technical assistance.
   Coherent and comprehensive approaches will be formulated, embracing an array of means of
   interventions allowing for flexible planning and rapid delivery in response to any specific in-
   country situation.
   Sound policy and methodological frameworks following the highest international standards
   will be translated into clear and realistic targets applying leaner procedures. Implementation
   will take full advantage of the devolution process to ensure optimal management capacity and
   information systems. At the ex-ante or feasibility stage, consideration of the full range of
   alternative choices of approach will be undertaken, including reflection on the most
   appropriate instruments and conditions for assistance, and favouring rapid and simple
   instruments for administration and operative management.
   First positive results and the soundness of proposed improvements were evidenced through
   the latest evaluation reports.
   5.2       Actions envisagées et modalités de l'intervention budgétaire
   Afrique Sub-saharienne, Caraïbes, Pacifique et Océan Indien (ACP)
   Populations visées
   The ACP regroup 78 developing countries (76 countries covered by the EDF plus South
   Africa and East Timor) with a total population of 700 million. 42 of these countries are least
   developed countries and close from 50% of the ACP population lives with less than 1 USD
   per day.
   Objectifs spécifiques
   This programme is designated to finance cooperation activities at country, regional and at all
   ACP levels aimed at reducing poverty, promoting sustainable development, addressing in a
   balanced and integrated manner social, economic and environmental objectives, and the
   progressive integration of the ACP countries into the world economy. The programmes will
   be designed according to the approach and principles defined in the ACP-EC Partnership
   Agreement signed in Cotonou in June 2000. They will contribute to the achievement of the
   Millennium Development Goals and will be based on and promote the respect for all human
EN                                                 42                                                 EN
 ---pagebreak---    rights and fundamental freedoms, democracy based on the rule of law and transparent and
   accountable governance. The policy co-operation framework between the European Union
   and South Africa is set out in the Bi-Lateral Trade, Development and Cooperation Agreement
   (TDCA) which came into full force on 1 May 2004 as well as in the ACP-EC Partnership
   Agreement, to which South Africa is a Party as qualified in Protocol N°3.
   Mesures à prendre
   The co-operation programmes shall be tailored to each country’s and region’s circumstances,
   shall promote local ownership and the involvement of non state actors in the development
   process.
   Interventions will be made in the form of grant subsidy with direct budget support and sector-
   specific programme aid as preferred intervention tools, or in the form of risk capital and loans
   managed by the European Investment Bank.
   The priorities will be discussed with each partner government and with each partner regional
   organisation. They will be agreed upon in the form of Country Strategy Papers and Regional
   Strategy Papers that shall be coherent with the national and regional development and poverty
   reduction strategy papers and complementary to other donor interventions, in particular from
   Member states. These strategy papers will be operationalised through National and Regional
   Indicative five-year programmes to be signed by both parties. Those indicative programmes
   will define the focal sectors for Community interventions in line with the Joint Declaration by
   the Council and the Commission of November 2000 on the European Community’s
   Development Policy, as well as a number of non focal areas for co-operation, taking into
   account cross-cutting issues. They will include a set of overall and sector-specific objectively
   measurable performance indicators related to the achievement of the Millennium
   Development Goals. The financial envelopes for each indicative programme will be defined
   on the basis of both needs and performance indicators and may be revised on the basis of
   periodic assessments of performance.
   Moyen-orient(Est du Jourdain : Irak, Pays du Golfe, Yémen, Iran)
   Populations visées
   The population of the countries belonging to the Gulf Cooperation Council, Iran, Iraq and
   Yemen is likely to benefit under this Regulation.
   Objectifs spécifiques
   The major objectives for European Community co-operation with the Countries of East of
   Jordan are:
   – Contribute to peace and security in the region and globally, through a broadening of
      Community engagement with the region;
   – Promote the sustainable development of the less prosperous countries of the region,
      addressing the root causes of poverty;
   – Contribute to the protection of human rights and to the spreading of democracy, good
      governance and the rule of law;
EN                                                43                                                EN
 ---pagebreak---    – Support reforms in the region
   – Support domestic efforts in areas such as fight against organized crime, drugs trafficking,
      terrorism and non proliferation;
   – Further strengthen mutual trade and investment flows with the region, and support trade
      related assistance with particular attention to the DDA and WTO implementation issues;
   – Promote regional cooperation.
   Mesures à prendre
   Measures receiving Community support shall include, inter alia: support to reconstruction in
   Iraq in line with Commission's communications, support fight against all forms of trafficking,
   money laundering, organized crime, terrorism and non proliferation; supporting the
   development of network links to the EU, particularly for oil and gaz, support the
   implementation of the EU-GCC Free trade agreement (to be concluded in the near term);
   support to human rights and democracy programmes; support for programmes on
   environmental protection and sustainable management of natural resources; support for
   institutional, legal and administrative reforms; support to development of trade and
   investment; measures to improve governance and rule of law; support to higher education
   systems; support to policy reforms; support to poverty alleviation programmes in Yemen.
   Amérique Latine
   Populations visées
   The entire population (500 million) in Latin America is likely to benefit under this
   Regulation.
   Objectifs spécifiques
   Community cooperation shall in particular pursue the following specific objectives:
   – Promoting sustainable development addressing in a balanced and integrated manner social,
      economic and environmental objectives and promote harmonious and progressive
      integration and participation in the world economy;
   – Increasing social cohesion by reducing poverty, exclusion and inequality;
   – Promoting, democracy, rule of law and respect for human rights;
   – Favouring regional integration in Latin America, and support the development of closer
      relations between Latin American partners and the European Union;
   – Support trade related assistance with particular attention to the DDA and WTO
      implementation issues;
   – Supporting rehabilitation, reconstruction and aid to uprooted people, with particular
      attention to the transition between emergency and development.
EN                                                  44                                            EN
 ---pagebreak---    Mesures à prendre
   Measures receiving Community support could relate inter alia to local and rural development,
   food aid, environmental protection and sustainable management of natural resources, trade
   assistance with particular attention for the DDA, fiscal and social policies and social sectors
   such as health and education and private sector. Special attention will be paid to promoting
   the transfer of European Union experience in the social and fiscal fields. Intra regional and bi-
   regional cooperation in the social and environmental fields will be encouraged. Assistance
   shall be provided to strengthening the institutional and legislative framework in particular to
   underpin democratic institutions, public administration, justice administration, and also to
   deal with threats to security such terrorism and organized crime. Measures could concern the
   management of asylum and migration flows. Assistance shall be provided to regional
   integration processes in Latin America, including, trade, institutional, customs and other
   aspects of regional integration. Closer relations between societies from both regions will be
   promoted through decentralised programmes.
   Community cooperation shall also support sectors included in agreements with partner
   countries
   Asie
   Populations visées
   The entire populations of developing countries in Asia are likely to benefit under this
   Regulation.
   Objectifs spécifiques
   The European Commission co-operation with Asia is based on Commission Communication:
   “Europe and Asia: a strategic framework for enhanced partnership”36.
   This Communication defines 6 major objectives for European Community co-operation with
   Asia, namely to:
   – Contribute to peace and security in the region and globally, through a broadening of
      Community engagement with the region;
   – Further strengthen mutual trade and investment flows with the region, and support trade
      related assistance with particular attention to the DDA and WTO implementation issues;
   – Promote the sustainable development of the less prosperous countries of the region,
      addressing the root causes of poverty;
   – Contribute to the protection of human rights and to the spreading of democracy, good
      governance and the rule of law;
   – Build global partnerships and alliances with Asian countries, in appropriate international
      fora, to help address both the challenges and the opportunities offered by globalisation and
      to strengthen joint efforts on global environmental and security issues;
   36
           COM(2001) 469 du 4 septembre 2001.
EN                                                  45                                               EN
 ---pagebreak---    – Help strengthen mutual awareness and exchanges.
   This global, Asia-wide strategy has been complemented by subsequent strategies at sub-
   regional and country level, notably for South East Asia37, China38 and India39.
   Supporting rehabilitation, reconstruction and aid to uprooted people, with particular attention
   to the transition between emergency and development, constitutes another objective of
   assistance to Asia.
   Mesures à prendre
   Measures receiving Community support shall include, inter alia: social services (health,
   education), whenever possible through sector-wide approaches, contributing to improving
   social cohesion; institution building measures notably in the areas of trade related technical
   assistance, with particular attention for the DDA, and the judiciary; measures in support of
   economic cooperation with an efficient private sector able to operate according to the global
   trade rules and the principles of a market economy; measures supporting environmental
   protection, sustainable management of natural resources, rural development and food security;
   measures to promote good governance, the rule of law and respect for human rights and
   democratisation; management of asylum and migration flows; measures addressing security
   issues, such as the fight against trafficking, crime, and terrorism; measures contributing to the
   development of media and communication sectors; statistical cooperation; measures
   supporting regional integration; support to cultural cooperation and higher education
   exchanges; measures to improve mutual awareness and visibility, measures aimed at
   supporting and assisting uprooted people.
   Community cooperation shall also support sectors included in agreements with partner
   countries.
   Asie Centrale
   Populations visées
   The entire population of Kazakhstan, Kyrgyzstan, Uzbekistan, Tajikistan and Turkmenistan is
   likely to benefit under this Regulation.
   Objectifs spécifiques
   The major objectives for European Community co-operation with the Countries of Central
   Asia are:
   – Contribute to peace and security in the region and globally, through a broadening of
      Community engagement with the region;
   37
           Communication de la Commission « Un nouveau partenariat avec l'Asie du Sud-Est » (COM(2003) 399
           du 9 juillet 2003).
   38
           Document d’orientation de la Commission à transmettre au Conseil et au Parlement européen « Intérêts
           communs et défis de la relation UE-Chine - vers un partenariat mature (mise à jour des communications
           de la Commission européenne de 1998 et 2001 consacrées aux relations UE-Chine) » (COM(2003) 533
           du 25 septembre 2003).
   39
           Communication de la Commission « Un partenariat stratégique EU-Inde » (COM(2004) 430 du 16 juin
           2004).
EN                                                      46                                                       EN
 ---pagebreak---    – Promote the sustainable development of the less prosperous countries of the region,
      addressing the root causes of poverty;
   – Contribute to the protection of human rights and to the spreading of democracy, good
      governance and the rule of law;
   – Promote regional cooperation in areas such as protection of the environment, management
      of natural resources; fight against organized crime, drugs trafficking and terrorism;
   – Further strengthen mutual trade and investment flows with the region, and support trade
      related assistance with particular attention to the DDA and WTO implementation issues.
   Mesures à prendre
   Measures receiving Community support shall include, inter alia: support to border
   management, fight against all forms of trafficking, money laundering and organized crime;
   supporting the development of network links to the EU, particularly for oil and gaz, and to
   pan-European transport corridors; supporting programmes on environmental protection and
   sustainable management of natural resources; support for institutional, legal and
   administrative reforms; support to development of trade and investment; measures to improve
   governance and rule of law; support to higher education systems; support to policy reforms in
   public finances, agriculture and social protection; support to poverty alleviation programmes.
   Initiatives globales et horizontales pour le développement et les aspects externes des
   politiques internes
   Populations visées
   The target populations vary according to the type of thematic programme. Some foresee a
   global outreach, eg protection of the global environment, others are specifically targeted at the
   most vulnerable segments of populations in developing countries, e.g. women and children,
   the rural poor, ill people, etc. Objectives and actions related to innovative approaches and
   promotion of the non-state actor dimension are targeted at NGOs, decentralised government
   structures in recipient countries, the private sector, trade unions, universities, foundations and
   research institutes as well as the populations, which ultimately benefit from their initiatives.
   The European Union population is a target for awareness-raising on development cooperation.
   Objectifs spécifiques
   Global and horizontal initiatives (so-called thematic programmes) contribute to the
   overarching objectives of poverty reduction (Millennium Development Goals), sustainable
   development and the integration of developing countries into the world economy. They are
   complementary to geographical programmes and pursue the following specific objectives:
   – To promote the provision of global public goods through global, horizontal and targeted
      actions in support of sustainable development, which cover actions in fields such as
      environment, forests, knowledge and research, social development and other sectors;
   – To promote multilateralism and global partnerships through the support to global
      initiatives (e.g. Hihgly Indebted Poor Countries initiative, Global Fund for AIDS,
      Tuberculosis and Malaria, Education Fast Track Initiative and Multilateral Environmental
      Agreements, the negotiation of new environmental agreements) and Multilateral
EN                                                  47                                                EN
 ---pagebreak---       Agreements to which the Community is a Party. This will include financing of activities of
      multi-regional character implemented by international organisations such as the UN and
      international NGOs;
   – To facilitate the mainstreaming of cross-cutting issues such as human rights, gender
      equality, trade, the environmental dimension in country and regional strategies and
      programmes;
   – To support pilot and innovative approaches, the creation and exchange of knowledge and
      best practice and lessons-sharing between different actors, where the added value of such
      initiatives is clearly demonstrated and where it does not lead to a proliferation of tiny
      single-issue lines;
   – To enhance participation and ownership of non-state actors by promoting actions that are
      actor-driven or actor-oriented;
   – To initiate a process of change (e.g. awareness raising, institutional capacity-building) on
      sensitive issues that may not be tackled in the short-term through the geographical
      programmes because agreement cannot be reached with partner governments;
   – To provide a flexible response to crisis and post-crisis situations in the transition towards
      development, including, but not restricted to, addressing food security measures and
      responses to trade shocks, in particular when this cannot be effectively supported under
      national indicative programmes;
   – To initiate and/or maintain an anchor with countries where no agreed co-operation
      programme is in place (the so-called difficult partnerships);
   – To raise awareness on development in the EU.
   Mesures à prendre
   Thematic strategies will be established for periods up to seven years. The strategic documents
   will set out the European Union’s vision and priorities of its assistance within each priority
   theme and initiative. These multiannual programming documents will include: i) an analysis
   of the added value of Community aid compared with geographical instruments; ii) a situation
   analysis at international level and European Union level, including European Union
   commitments with regard to the specific global/horizontal issue, the position of the Council
   and the European Parliament; iii) the work priorities identified by the Commission, the
   operations financed previously and the lessons learned from them, including outcomes of
   evaluations; iv) the response strategy, including a detailed description of the theme, the
   geographical priorities if a geographical breakdown is envisaged, the measures taken
   (interventions); v) the multiannual programme, including annual amounts and forecasts, an
   indication of the type of interventions and the partners involved in their implementation, the
   instruments to be used for the selection of interventions and distribution of funds. Annual
   Work Programmes will be drawn up based on the multiannual thematic programming
   documents.
EN                                                48                                               EN
 ---pagebreak---    Démocratie et Droit de l’Homme
   As set out in the thematic strategy, measures receiving Community support in pursuit of the
   present Regulation’s objectives in the field of promoting democratisation and the rule of law,
   and respect for human rights and fundamental freedoms shall include:
   – pertinent global, regional and country projects and programmes of local and EU non-
      governmental and civil society based organisations;
   – cooperation with international organisations in the field of democratisation and human
      rights.
   Migration management
   In complementarity with geographical programmes, a thematic strategy may be set up in the
   field of asylum and migration covering the following types of actions :
   – the development of third country’s legislation in the field of legal immigration
   – the development of legal migration;
   – the development of legislation and national practices as regards international protection;
   – the establishment in the third countries concerned of an effective and preventive policy in
      the fight against illegal migration, including the fight against trafficking in human beings
      and smuggling of migrants, and the development of relevant legislation;
   – the readmission, in full respect of the law, and durable reintegration, into the third country
      concerned of persons who have illegally entered or remained on the territory of Member
      States or of persons who have unsuccessfully applied for asylum in the European Union or
      benefited from international protection there.
   Coopération avec les pays industrialisés
   Populations visées
   Pays de l’OCDE et non membres de l’Union européenne.
   Objectifs spécifiques
   Specific objectives of the programme are:
   – to promote a better understanding and a more widespread knowledge of the European
      Union in order to reinforce the influence of the European Union in bilateral and
      multilateral relations with the partner countries concerned as well as increase the visibility
      of the European Union there;
   – to enhance people-to-people exchanges and promote sectoral dialogues and collaborative
      projects between the European Union and the partner countries to help the European Union
      and the partner countries developing further their bilateral relations;
EN                                                49                                                 EN
 ---pagebreak---    – to promote investment and commercial relations between the European Union and partner
      countries.
   Mesures à prendre
   Measures receiving community support shall include projects targeting inter alia universities
   and other educational institutions, foundations, think tanks, research institutes, social partners,
   business and sectoral organisations and NGO’s in the partner countries and in the EU and
   aiming notably at:
   – enhancing people-to-people and academic exchanges - in particular student and faculty
      mobility and joint curriculum development - as well as dialogues between political,
      environmental, economic and business organisations, social partners, NGOs and civil
      society actors of the EU and the partner countries;
   – developing joint cooperation projects in fields of common interest to the EU and partner
      countries such as the environment, energy and transport, customs, science and technology;
   – stimulating EU-related curricular development in partner countries, research work and
      studies destined to provide input for the European Union and the partner countries, and
      EU-focused information activities in the partner countries;
   – developing policy advice and public diplomacy initiatives to explain European union
      institutions, policies and positions and influence the way stakeholders groups and the
      general public in partner countries understand and react to European union policies, and
      affect the policies of their respective governments.
   Community measures shall also include measures aiming at enhancing the European union
   business presence on the market of partner countries, including through export and
   commercial promotion; improving market access conditions and the regulatory framework for
   EU products and services in partner countries; facilitating bilateral investment flows with
   partner countries and contributing to making more influential the EU business presence in
   partner countries.
   5.3       Modalités de mise en œuvre
   Programmes may be implemented under direct centralised management by the Commission
   from Headquarters and/or thought the devolved Commission Delegations using both statutory
   and temporary staff. They may also be implemented under decentralised management by the
   beneficiary country and under joint management with international organisations. The
   Regulation also leaves open the possibility for programme implementation under indirect
   centralised management arrangements by national public sector bodies or bodies governed by
   private law with a public service mission, or by an executive agency.
EN                                                 50                                                  EN
 ---pagebreak---     6.        INCIDENCE FINANCIÈRE
    6.1       Incidence financière totale sur la partie B (pour toute la période de
              programmation) (prix courant)
    6.1.1     Intervention financière
                                         Crédits d'engagement en millions d'euros (à la 3e décimale)
                            2007     2008      2009     2010    2011      2012      2013     Total
         Ventilation
   Programme                  0      3.105     3.440    3.814   3.991     4.089    4.190     22.629
   géographique Afrique
   Sub-saharienne,
   Caraïbes, Pacifique et
   Océan Indien
   Programmes               2.364    2.665     2.729    2.807   2.926     3.083    3.256     19.830
   géographiques
   (autres), programmes
   thématiques         et
   programme pour la
   coopération avec les
   pays industrialisés
                  TOTAL     2.364    5.770     6.169    6.621   6.917     7.172    7.446     42.459
    6.1.2     Assistance technique et administrative (ATA), dépenses d'appui (DDA) et dépenses
              TI (crédits d’engagement)
                            2007      2008     2009      2010    2011      2012      2013     Total
         Ventilation
   Programme                   0      129       143      159     166        170      176       943
   géographique Afrique
   Sub-saharienne,
   Caraïbes, Pacifique et
   Océan      Indien   –
   Dépenses de gestion
   administrative
   Programmes                 98      112       114      117     123        129      134       827
   géographiques
   (autres), programmes
   thématiques         et
   programme pour la
   coopération avec les
   pays industrialisés –
   Dépenses de gestion
   administrative
                  TOTAL       98      241       257      276     289        299      310      1.770
EN                                                   51                                              EN
 ---pagebreak---    7.        IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE
   7.1.       Impact on human resources
                             Staff to be assigned to management of the
                                                                                    Description of tasks deriving from the
                               action using existing and/or additional
                                                                                                    action
                                              resources
        Types of post                                                         Total
                                 Number of                Number of
                              permanent posts         temporary posts
   Officials       or       HQ: 593                                         1068
   temporary staff          Del: 475
                                                    HQ:
                                                    END:
                                                                            21
                                                    AUX:
                                                                            71
                                                    INT:
                                                                            2
                                                    Ex BA-lines :
   Other human resources                            ATA:
                                                                            107
                                                    Delegations:
                                                    Ex BA-lines:
                                                    ALAT/AL:                1282
                                                    Ind. Expert:
                                                                            120
   Total                                                                    2671
   7.2.       Overall financial impact of human resources (prix 2004)
                   Type of human resources                           Amount (€)           Method of calculation *
   Officials+Temporary staff
   HQ                                                            64 044 000                     593 x 108 000€
   Delegation                                                    92 225 050                     475 x 194.158€
   HQ:
   END
   AUX                                                             935 424                    21 x 44 544€
   INT                                                           4 029 960                    71 x 56 760€
   Ex BA-lines:                                                    126 192                    2 x 63 096€
   ATA
   Delegations:                                                  6 168 122                    107 x 57 646€
   Ex BA-lines:
   ALAT/AL
   Individ. Experts:                                             98 060 180                   1282 x 76490€
                                                                 22 200 000                     120 x 185 000€
                                                       Total     287 788 928
   Les montants correspondent aux dépenses totales pour 12 mois.
EN                                                         52                                                        EN
 ---pagebreak---    7.3         Autres dépenses de fonctionnement découlant de l’action (prix 2004)
   Ligne budgétaire
   (n° et intitulé)                                               Montants en euros                 Mode de calcul
   Enveloppe globale (Titre A7)
   A0701 – Missions                                             4.738.800               2.154 missions x 2.200 € par mission
   A07030 – Réunions                                            100.000                 100 réunions x 1.000 € par réunion
   A07031 – Comités obligatoires (1)                            750.000                 30 réunions x 25.000 € par réunion
   A07032 – Comités non obligatoires (1)                        0
   A07040 – Conférences                                         400.000
   A0705 – Études et consultations                              200.000
        Autres dépenses (indiquer lesquelles)                   0
   Systèmes d’information (A-5001/A-4300)                       400.000
   Autres dépenses - partie A (indiquer lesquelles)             0
                                                        Total   6.588.800 €
   Les montants correspondent aux dépenses totales de l’action pour 12 mois.
   (1)
       Préciser le type de comité ainsi que le groupe auquel il appartient.
   (prix 2004)
   I.        Total annuel (7.2 + 7.3)                                    294.377.728 euros
   II.       Durée de l’action                                           7 années
   III.      Coût total de l’action (I x II)                             2.060.644.096 euros
   "Les besoins en ressources humaines et administratives seront couverts à l’intérieure de la
   dotation allouée à la DG gestionnaire dans le cadre de la procédure d’allocation annuelle".
   "L'allocation de postes dépendra d'une part de l'organisation interne de la prochaine
   Commission et d'autre part d'une éventuelle réallocation de postes entre services suite aux
   nouvelles perspectives financières".
   8.          SUIVI ET ÉVALUATION
   8.1         Système de suivi
   The Commission will monitor progress of its external co-operation on all levels, input (in
   particular financial flows (commitments, contracts and payments), activities / outputs (project
   and programme execution, internal monitoring carried out on the spot by Commission
   Delegations), progress / outcome (external Results-Oriented Monitoring - ROM40) and impact
   (Millennium Development Goals are jointly monitored with partners).
   40
             The results-oriented monitoring system (ROM) allows a rapid appreciation of a project or programme’s
             performance, as well as of its wider implications and provides the Commission with independent advice
             on its project portfolio. The system was initially developed and tested in 2000/2001 before expansion
             during 2002 to all regions of the Commission’s external co-operation. Having one consistent approach
             ensures that the Commission has comparable data for all regions where it provides external assistance.
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 ---pagebreak---    All countries and regional pluriannual indicative program will include the specific objectives
   and expected results for each area of co-operation, and a limited number of key outcome
   indicators in regard to economic and poverty situation. These indicators must relate to
   developments that are measurable in the short/medium term. If there is a Poverty Reduction
   Strategy Paper process under way, the indicators must correspond to those developed in that
   framework.
   The programming of long-term external aid for partner countries and regions is carried out in
   the framework of the preparation of country and regional strategy papers (up to 7-years)..
   These country strategies also include a work plan or national / regional indicative programme
   jointly agreed between the Community and partner country/region concerned.
   Under the principle of rolling programming, a review process is foreseen including annual
   operational reviews, mid-term reviews, and ad-hoc reviews where necessary. These review
   mechanism provides the flexibility required to ensure that operations are kept constantly in
   line with changes occurring in the economic situation, priorities and objectives of the partner
   country/region.
   Reviews take a special interest on progress achieved in terms of financial execution of aid, as
   well as in terms of results achieved and evolution of the context in term of poverty reduction,
   economic performance and supported sectors. Updated intervention frameworks and indicator
   tables on focal sectors are annexed to review documents in order to facilitate the assessment at
   the time of the review. In particular, mid-term reviews may lead to a change of strategy, as
   well as a change in the country/region allocation in the light of the current needs and
   performance.
   Les documents de stratégie thématique incluront une liste d’indicateurs permettant de suivre,
   dans la mesure des informations disponibles, l’évolution globale de la situation concernée par
   le thème.
   Les programmes d’actions annuels incluront une information sur le type d’indicateurs de
   performances appropriés qui devront être suivi dans la mise en œuvre des actions financées
   par la Commission.
   8.2      Modalités et périodicité de l’évaluation prévue
   In application of current rules and in view of the vast scope of the activities foreseen, an
   evaluation system covering the different levels of intervention and types of instruments has
   been set up.
   Notably, the financial regulation, as well as the internal control standards, calls for regular
   evaluation of all (sizable) activities. This is translated into the evaluation of single operations
   (e.g. development projects), of programmes (e.g. country strategies) and policy sectors or
   themes (e.g. transport or gender issues). Evaluations of are also necessary and ongoing of
   wider legal obligations such as the 3 Cs (Coherence, Complementarity, Coordination).
   In practical terms, above mentioned obligations would amount to a yearly evaluation
   programme covering roughly the following: 30 country strategy evaluations (approximately
   120 sizeable Country Strategy Papers covered over a 4 year cycle) , 4 evaluations of regional
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 ---pagebreak---    and sub regional strategies; 4 evaluations of themes and sectors and 4 joint evaluations. It is
   also estimated that about 300 projects and other operations have to be evaluated each year.41
   These works will be complemented by relevant works on databases, meta-analyses,
   methodology and training.
   9.        MESURES ANTIFRAUDE
   La protection des intérêts financiers de la Communauté et la lutte contre les fraudes et autres
   irrégularités font partie intégrant du présent règlement.
   Le suivi administratif des marchés et des paiements relève de la compétence des délégations
   de la CE dans les pays bénéficiaires.
   Chacune des actions financées dans le cadre du présent règlement est supervisée par les
   délégations à tous les stades du cycle de projet. Cette supervision tient compte des obligations
   contractuelles ainsi que des principes d'analyse coût-efficacité et de saine gestion financière.
   Tout accord ou contrat conclu en vertu du présent règlement prévoit expressément un suivi de
   la dépense autorisée dans le cadre des projets/programmes et de la mise en œuvre des activités
   ainsi que le contrôle financier de la Commission, notamment de l'Office européen de lutte
   antifraude (OLAF), ainsi que des audits de la Cour des comptes, effectués sur place si
   nécessaire. Il doit autoriser la Commission à procéder aux vérifications et inspections sur
   place visées par le règlement (Euratom, CE) no 2185/96 du 11 novembre 1996 relatif aux
   contrôles et vérifications sur place effectués par la Commission pour la protection des intérêts
   financiers des Communautés européennes contre les fraudes et autres irrégularités.
   La nature des dépenses (éligibilité), le respect des budgets (dépenses effectives), la
   vérification des justificatifs et des documents (preuves des dépenses) font l'objet d'une
   attention particulière.
   41
           Le programme d’évaluation indiqué ici couvre l’ensemble des activités de coopération relevant des
           quatre instruments d’aide extérieures : « instrument de pré-adhésion », « instrument européen de
           voisinage et de partenariat », « instrument de stabilité » et « instrument de financement de la
           coopération au développement et de la coopération économique ». Les ressources humaines et les
           ressources financières nécessaires à la réalisation du programme d’évaluation sont estimées
           respectivement à 72 homme/an (57 AD et 15 AST) et à 24,6 millions d’€ par an.
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