REGULATION (EU) No 233/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 11 March 2014
establishing a financing instrument for development cooperation for the period 2014-2020
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 209(1) and 212(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the Committee of the Regions (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1)
This Regulation forms part of the Union's development cooperation policy and constitutes one of the instruments providing support for the Union's external policies. It replaces Regulation (EC) No 1905/2006 of the European Parliament and of the Council (3), which expired on 31 December 2013.
(2)
The fight against poverty remains the primary objective of the development policy of the Union, as laid down in Title V, Chapter 1 of the Treaty on European Union (TEU) and Title III, Chapter 1 of Part Five of the Treaty on the Functioning of the European Union (TFEU), in line with the Millennium Development Goals (MDGs) and other internationally agreed development commitments and objectives approved by the Union and by the Member States in the context of the United Nations (UN) and other competent international fora.
(3)
The joint statement by the Council and the representatives of the governments of the Member States meeting within the Council, the European Parliament and the Commission on European Union Development Policy: ‘The European Consensus’ (4) (the ‘European Consensus’), and agreed modifications thereto, provides the general policy framework, the orientations and the focus to guide the implementation of this Regulation.
(4)
Over time, Union assistance should contribute to reducing aid dependence.
(5)
The Union's action on the international scene is to be guided by the principles which have inspired its own creation, development and enlargement, and which it seeks to advance in the wider world, namely democracy, the rule of law, the universality and indivisibility of human rights and fundamental freedoms, respect for human dignity, the principles of equality and solidarity and respect for the principles of the United Nations Charter and international law. The Union is to seek to develop and consolidate commitment to those principles in partner countries, territories and regions through dialogue and cooperation. In pursuing those principles, the Union proves its added value as an actor in development policies.
(6)
In implementing this Regulation, and in particular during the programming process, the Union should have due regard to the priorities, objectives and benchmarks in human rights and democracy established by the Union for partner countries, in particular its human rights country strategies.
(7)
Respect for human rights, fundamental freedoms, the promotion of the rule of law, democratic principles, transparency, good governance, peace and stability and gender equality are essential for the development of partner countries, and those issues should be mainstreamed in the Union's development policy, particularly in programming and in agreements with partner countries.
(8)
Aid effectiveness, greater transparency, cooperation and complementarity and better harmonisation, alignment with partner countries, as well as coordination of procedures, both between the Union and the Member States and in relations with other donors and development actors, are essential for ensuring the consistency and relevance of aid whilst at the same time reducing the costs borne by partner countries. Through its development policy, the Union is committed to implementing the conclusions of the Declaration on Aid Effectiveness adopted by the High Level Forum on Aid Effectiveness, held in Paris on 2 March 2005, the Accra Agenda for Action adopted on 4 September 2008 and their follow-up Declaration adopted in Busan on 1 December 2011. Those commitments have led to a number of conclusions of the Council and of the Representatives of the Governments of the Member States meeting within the Council, such as the EU Code of Conduct on Complementarity and Division of Labour in Development Policy and the Operational Framework on Aid Effectiveness. Efforts and procedures for achieving joint programming should be reinforced.
(9)
Union assistance should support the Joint Africa-EU Strategy, adopted at the EU-Africa Summit on 8-9 December 2007 in Lisbon and subsequent modifications and additions thereto, based on the shared vision, principles and objectives underpinning the Africa-EU Strategic Partnership.
(10)
The Union and the Member States should improve the consistency, coordination and complementarity of their respective policies on development cooperation, in particular by responding to partner countries' and regions' priorities at country and at regional level. To ensure that the Union's development cooperation policy and that of the Member States complement and reinforce each other, and to ensure cost-effective aid delivery while avoiding overlaps and gaps, it is both urgent and appropriate to provide for joint programming procedures which should be implemented whenever possible and relevant.
(11)
The Union's policy and international action for development cooperation are guided by the MDGs such as the eradication of extreme poverty and hunger, including any subsequent modifications thereto, and by the development objectives, principles and commitments approved by the Union and the Member States, including in the context of their cooperation within the UN and other competent international fora in the field of development cooperation. The Union's policy and international action are also guided by its commitments and obligations concerning human rights and development, including the Universal Declaration on Human Rights, the International Covenant on Civil and Political Rights, the International Covenant on Economic, Social and Cultural Rights, the Convention on the Elimination of All Forms of Discrimination against Women, the UN Convention on the Rights of the Child, and the UN Declaration on the Right to Development.
(12)
The Union is strongly committed to gender equality as a human right, a question of social justice and a core value of the Union's development policy. Gender equality is central to the achievement of all MDGs. On 14 June 2010, the Council endorsed the EU Plan of Action 2010-2015 on Gender Equality and Women's Empowerment in Development.
(13)
The Union should, as a matter of high priority, promote a comprehensive approach in response to crisis and disaster and to conflict-affected and fragile situations, including those of transition and post-crisis. This should, in particular, build on the Council conclusions of 19 November 2007 on an EU response to situations of fragility and the conclusions of the Council and the Representatives of the Governments of the Member States meeting within the Council, also dated 19 November 2007, on security and development, as well as build on the Council conclusions of 20 June 2011 on conflict prevention, as well as any relevant subsequent conclusions.
(14)
Particularly in those situations where needs are most urgent and poverty both most widespread and deepest, Union support should be geared at strengthening the resilience of countries and their populations to adverse events. That should be done through the appropriate mix of approaches, responses and instruments, in particular by ensuring that the security-oriented, humanitarian and development approaches are balanced, consistent and effectively coordinated, thereby linking relief, rehabilitation and development.
(15)
Union assistance should focus on where it has more impact, having regard to its capacity to act on a global scale and to respond to global challenges such as poverty eradication, sustainable and inclusive development and worldwide promotion of democracy, good governance, human rights and the rule of law, its long-term and predictable commitment to development assistance and its role in coordinating with the Member States. To ensure such impact, the principle of differentiation should be applied, not only at the level of fund allocation, but also at the level of programming, to ensure that bilateral development cooperation targets partner countries most in need, including fragile States and States with high vulnerability, and with limited capacity to access other sources of financing to support their own development. The Union should engage in new partnerships with countries that graduate from bilateral aid programmes, notably on the basis of regional and thematic programmes under this instrument and other thematic Union instruments for financing external action, in particular the Partnership Instrument for cooperation with third countries as established by Regulation (EU) No 234/2014 of the European Parliament and of the Council (5) (the ‘Partnership Instrument’).
(16)
The Union should seek the most efficient use of available resources in order to optimise the impact of its external action. That should be achieved through a comprehensive approach for each country based on coherence and complementarity between the Union's instruments for external action, as well as the creation of synergies between this instrument, other Union instruments for financing external action and other policies of the Union. This should further entail mutual reinforcement of the programmes devised under the instruments for financing external action. While striving for overall consistency of the Union's external action in accordance with Article 21 TEU, the Union is to ensure policy coherence for development as required by Article 208 TFEU.
(17)
While respecting the principle of policy coherence for development, this Regulation should allow for enhanced consistency between Union policies. It should also enable full alignment with partner countries and regions by using, where possible, as the basis for the programming of the Union's action, national development plans or similar comprehensive development documents, adopted with the involvement of national and regional bodies concerned. It should furthermore pursue better coordination amongst donors, in particular between the Union and the Member States, through joint programming.
(18)
In a globalised world, different internal Union policies such as environment, climate change, promotion of renewable energies, employment (including decent work for all), gender equality, energy, water, transport, health, education, justice and security, culture, research and innovation, information society, migration and agriculture and fisheries are increasingly becoming part of the Union's external action.
(19)
A strategy for smart, sustainable and inclusive growth, i.e. involving growth patterns that enhance social, economic and territorial cohesion and enable the poor to increase their contribution to, and benefit from, national wealth, underlines the commitment of the Union to promote, in its internal and external policies, smart, inclusive and sustainable growth bringing together three pillars: economic, social and environmental.
(20)
Fighting climate change and protecting the environment are among the great challenges which the Union and developing countries are facing, and where the need for national and international action is urgent. This Regulation should therefore contribute to the objective of addressing at least 20 % of the Union budget to a low carbon and climate resilient society, and the ‘Global Public Goods and Challenges’ programme provided for in this Regulation should use at least 25 % of its funds to cover climate change and environment. Actions in those areas should, wherever possible, be mutually supportive in order to reinforce their impact.
(21)
This Regulation should enable the Union to contribute to fulfilling the joint Union commitment of providing continued support for human development to improve peoples' lives. To contribute to that end, at least 25 % of the ‘Global Public Goods and Challenges’ programme should support that area of development.
(22)
At least 20 % of the assistance under this Regulation should be allocated to basic social services, with a focus on health and education, as well as to secondary education, recognising that a degree of flexibility must be the norm such as in cases where exceptional assistance is involved. Data concerning compliance with that requirement should be included in the annual report referred to in Regulation (EU) No 236/2014 of the European Parliament and of the Council (6).
(23)
In the UN Istanbul Programme of Action for the Least Developed Countries for the Decade 2011-2020, least developed countries committed to integrate trade and trade capacity-building policies into their national development strategies. Furthermore, at the World Trade Organisation 8th Ministerial Conference held in Geneva on 15-17 December 2011, ministers agreed to maintain, beyond 2011, Aid for Trade levels that at least reflect the average of the period 2006-2008. Better and more targeted Aid for Trade and trade facilitation must accompany those efforts.
(24)
While thematic programmes should primarily support developing countries, some beneficiary countries as well as the overseas countries and territories (OCTs) the characteristics of which do not satisfy the requirements allowing them to be defined as Official Development Assistance (‘ODA’) recipients by the Development Assistance Committee of the Organisation for Economic Cooperation and Development (‘OECD/DAC’) but which are covered by point (b) of Article 1(1) should also be eligible for thematic programmes subject to the conditions laid down in this Regulation.
(25)
The details of areas of cooperation and adjustments of financial allocations per geographic area and area of cooperation constitute non-essential elements of this Regulation. Consequently, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission for updating the elements of the Annexes to this Regulation which set out the details of the areas of cooperation under geographic and thematic programmes and the indicative financial allocations per geographic area and area of cooperation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council.
(26)
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission with regard to the strategy papers and multiannual indicative programmes referred to in this Regulation. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (7).
(27)
Given the nature of such implementing acts, in particular their policy orientation nature and their budgetary implications, the examination procedure should in principle be used for their adoption, except in the case of measures of a small financial scale.
(28)
The Commission should adopt immediately applicable implementing acts where, in duly justified cases relating to the need for a swift response from the Union, imperative grounds of urgency so require.
(29)
Common rules and procedures for the implementation of the Union's instruments for financing external action are laid down in Regulation (EU) No 236/2014.
(30)
The organisation and functioning of the European External Action Service are established in Council Decision 2010/427/EU (8).
(31)
Since the objectives of this Regulation cannot be sufficiently achieved by the Member States but can rather, by reason of the scale of the action, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 TEU. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.
(32)
This Regulation lays down a financial envelope for its period of application which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (9), for the European Parliament and the Council during the annual budgetary procedure.
(33)
It is appropriate to align the period of application of this Regulation with that of Council Regulation (EU, Euratom) No 1311/2013 (10). Therefore, this Regulation should apply from 1 January 2014 until 31 December 2020,
HAVE ADOPTED THIS REGULATION:
TITLE I
GENERAL PROVISIONS
Article 1
Subject-matter and scope
1. This Regulation establishes an instrument (the ‘Development Cooperation Instrument’ or ‘DCI’) under which the Union may finance:
(a)
geographic programmes aimed at supporting development cooperation with developing countries that are included in the list of recipients of ODA established by the OECD/DAC, except for:
(i)
countries that are signatories to the Partnership Agreement between the members of the African, Caribbean and Pacific Group of States of the one part, and the European Community and its Member States, of the other part, signed in Cotonou on 23 June 2000 (11), excluding South Africa;
(ii)
countries eligible for the European Development Fund;
(iii)
countries eligible for Union funding under the European Neighbourhood Instrument established by Regulation (EU) No 232/2014 of the European Parliament and of the Council (12) (the ‘European Neighbourhood Instrument’);
(iv)
beneficiaries eligible for Union funding under the Instrument for Pre-accession Assistance established by Regulation (EU) No 231/2014 of the European Parliament and of the Council (13) (the ‘Instrument for Pre-accession Assistance’).
(b)
thematic programmes to address development-related global public goods and challenges and support civil society organisations and local authorities in partner countries pursuant to point (a) of this paragraph, countries eligible for Union financing under the instruments referred to in points (i) to (iii) of point (a) of this paragraph, and countries and territories falling within the scope of Council Decision 2013/755/EU (14);
(c)
a Pan-African programme to support the strategic partnership between Africa and the Union and subsequent modifications and additions thereto, to cover activities of a trans-regional, continental or global nature in and with Africa.
2. For the purposes of this Regulation, a region is a geographical entity comprising more than one developing country.
3. The countries and territories referred to in paragraph 1 are referred to in this Regulation as ‘partner countries’ or ‘partner regions’ as the case may be under the relevant geographic, thematic or Pan-African programme.
Article 2
Objectives and eligibility criteria
1. Within the framework of the principles and objectives of the Union's external action and of the European Consensus and agreed modifications thereto:
(a)
the primary objective of cooperation under this Regulation shall be the reduction and, in the long term, the eradication of poverty;
(b)
consistently with the primary objective referred to in point (a), cooperation under this Regulation shall contribute to:
(i)
fostering sustainable economic, social and environmental development, and
(ii)
consolidating and supporting democracy, the rule of law, good governance, human rights and the relevant principles of international law.
The achievement of the objectives referred to in the first subparagraph shall be measured using relevant indicators, including human development indicators, in particular MDG 1 for point (a) and MDGs 1 to 8 for point (b) and, after 2015, other indicators agreed at international level by the Union and the Member States.
2. Cooperation under this Regulation shall contribute to the achievement of the international commitments and objectives in the field of development that the Union has agreed to, in particular the MDGs, and post-2015 new development targets.
3. Actions under geographic programmes shall be designed so as to fulfil the criteria for ODA established by the OECD/DAC.
Actions under the thematic programmes and the Pan-African programme shall be designed so as to fulfil the criteria for ODA established by the OECD/DAC, unless:
(a)
the action applies to a beneficiary country or territory that does not qualify as an ODA recipient country or territory according to the OECD/DAC; or
(b)
the action implements a global initiative, a Union policy priority or an international obligation or commitment of the Union, as referred to in points (b) and (e) of Article 6(2), and the action does not have the characteristics to fulfil the criteria for ODA.
4. Without prejudice to point (a) of paragraph 3, at least 95 % of the expenditure foreseen under the thematic programmes and at least 90 % of the expenditure foreseen under the Pan-African programme shall fulfil the criteria for ODA established by the OECD/DAC.
5. Actions covered by Council Regulation (EC) No 1257/96 (15) and eligible for funding under that Regulation shall not be funded under this Regulation, except where there is a need to ensure continuity of cooperation from crisis to stable conditions for development. In such cases, special consideration shall be given to ensuring that humanitarian relief, rehabilitation and development assistance are effectively linked.
Article 3
General principles
1. The Union shall seek to promote, develop and consolidate the principles of democracy, the rule of law and respect for human rights and fundamental freedoms on which it is founded, through dialogue and cooperation with partner countries and regions.
2. In the implementation of this Regulation, a differentiated approach amongst partner countries shall be pursued, in order to ensure that they are provided with specific, tailor-made cooperation based on:
(a)
their needs, based on criteria such as population, income per capita, the extent of poverty, income distribution and the level of human development;
(b)
their capacities to generate and access financial resources and on their absorption capacities;
(c)
their commitments and performance, based on criteria and indicators, such as political, economic and social progress, gender equality, progress in good governance and human rights, and the effective use of aid, in particular the way a country uses scarce resources for development, beginning with its own resources; and
(d)
the potential impact of Union assistance in partner countries.
The countries most in need, in particular the least developed countries, low income countries and countries in crisis, post-crisis, fragile and vulnerable situations, shall be given priority in the resource allocation process.
Criteria such as the Human Development Index, the Economic Vulnerability Index and other relevant indexes, including for measuring in-country poverty and inequality, shall be taken into account in order to underpin the analysis and identification of the countries most in need.
3. Throughout all programmes, cross-cutting issues as defined in the European Consensus shall be mainstreamed. In addition, conflict prevention, decent work and climate change shall be mainstreamed, where relevant.
The cross-cutting issues referred to in the first subparagraph shall be understood to encompass the following dimensions, to which specific attention shall be given where circumstances so require: non-discrimination, the rights of persons belonging to minorities, the rights of persons with disabilities, the rights of persons with life-threatening diseases and of other vulnerable groups, core labour rights and social inclusion, the empowerment of women, the rule of law, capacity building for parliaments and civil society, and the promotion of dialogue, participation and reconciliation, as well as institution building, including at local and regional level.
4. In implementing this Regulation, policy coherence for development and consistency with other areas of Union external action and with other relevant Union policies shall be ensured, in accordance with Article 208 TFEU.
In this regard, measures financed under this Regulation, including those managed by the European Investment Bank (EIB), shall be based on the development cooperation policies set out in instruments such as agreements, declarations and action plans between the Union and the partner countries and regions concerned, and on the relevant Union decisions, specific interests, policy priorities and strategies.
5. The Union and the Member States shall seek regular and frequent exchanges of information, including with other donors, and shall promote better donor coordination and complementarity by working towards joint multiannual programming based on partner countries' poverty reduction or equivalent development strategies. They may undertake joint action, including joint analysis of and joint response to those strategies identifying priority sectors of intervention and in-country division of labour, by means of joint donor-wide missions and by the use of co-financing and delegated cooperation arrangements.
6. The Union shall promote a multilateral approach to global challenges and shall cooperate with Member States in that respect. Where appropriate, it shall foster cooperation with international organisations and bodies and other bilateral donors.
7. Relations between the Union and the Member States, on the one hand, and partner countries, on the other hand, shall be based on and shall promote the shared values of human rights, democracy and the rule of law as well as the principles of ownership and mutual accountability.
Furthermore, relations with partner countries shall take into account their commitment and track record in implementing international agreements and contractual relations with the Union.
8. The Union shall promote effective cooperation with partner countries and regions in line with international best practice. It shall align its support with their national or regional development strategies, reform policies and procedures wherever possible, and support democratic ownership, as well as domestic and mutual accountability. To that end, it shall promote:
(a)
a development process that is transparent and partner country- or region-led and owned, including the promotion of local expertise;
(b)
a rights-based approach encompassing all human rights, whether civil and political or economic, social and cultural, in order to integrate human rights principles in the implementation of this Regulation, to assist partner countries in implementing their international human rights obligations and to support the right holders, with a focus on poor and vulnerable groups, in claiming their rights;
(c)
the empowerment of the population of partner countries, inclusive and participatory approaches to development and a broad involvement of all segments of society in the development process and in national and regional dialogue, including political dialogue. Particular attention shall be given to the respective roles of parliaments, local authorities and civil society, inter alia regarding participation, oversight and accountability;
(d)
effective cooperation modalities and instruments as set out in Article 4 of Regulation (EU) No 236/2014, in line with OECD/DAC best practices, including the use of innovative instruments such as blending grants and loans and other risk-sharing mechanisms in selected sectors and countries and private-sector engagement, with due regard to the issues of debt sustainability, the number of such mechanisms, and the requirement for systematic assessment of the impact in accordance with the objectives of this Regulation, in particular poverty reduction.
All programmes, interventions and cooperation modalities and instruments shall be adapted to the particular circumstances of each partner country or region, with a focus on programme-based approaches, on the delivery of predictable aid funding, on the mobilisation of private resources, including from the local private sector, on universal and non-discriminatory access to basic services, and on the development and use of country systems;
(e)
mobilisation of domestic revenue through the reinforcement of partner countries' fiscal policy with the purpose of reducing poverty and aid dependence;
(f)
an improved impact of policies and programming through coordination, consistency and harmonisation between donors to create synergies and avoid overlap and duplication, to improve complementarity and to support donor-wide initiatives;
(g)
coordination in partner countries and regions using agreed guidelines and best practice principles on coordination and aid effectiveness;
(h)
results-based approaches to development, including through the use of transparent country-level results frameworks, based on, where appropriate, internationally agreed targets and indicators such as those of the MDGs, to assess and communicate the results, including the outputs, outcomes and impact of development aid.
9. The Union shall support, as appropriate, the implementation of bilateral, regional and multilateral cooperation and dialogue, the development dimension of partnership agreements, and triangular cooperation. The Union shall also promote South-South cooperation.
10. The Commission shall inform and have regular exchanges of views with the European Parliament.
11. The Commission shall have regular exchanges of information with civil society and local authorities.
12. In its development cooperation activities the Union shall, as appropriate, draw from and share the reform and transition experiences of Member States and the lessons learned.
13. Union assistance under this Regulation shall not be used to finance the procurement of arms or ammunition, or operations having military or defence purposes.
TITLE II
PROGRAMMES
Article 4
Implementation of Union Assistance
Union assistance shall be implemented, in accordance with Regulation (EU) No 236/2014, through:
(a)
geographic programmes;
(b)
thematic programmes, composed of:
(i)
a ‘Global Public Goods and Challenges’ programme, and
(ii)
a ‘Civil Society Organisations and Local Authorities’ programme, and
(c)
a Pan-African programme.
Article 5
Geographic programmes
1. Union cooperation activities under this Article shall be implemented for activities of a national, regional, trans-regional and continental nature.
2. A geographic programme shall encompass cooperation in appropriate areas of activity:
(a)
regionally with partner countries referred to in point (a) of Article 1(1), in particular with a view to easing the impact of graduation in partner countries showing high and growing inequalities; or
(b)
bilaterally:
(i)
with partner countries that are not upper middle income countries on the OECD/DAC list of developing countries, or do not have a gross domestic product greater than one per cent of global gross domestic product;
(ii)
in exceptional cases, including with a view to phasing out development grant aid, bilateral cooperation may also be undertaken with a limited number of partner countries when duly justified in accordance with Article 3(2). Phasing-out shall take place in close coordination with other donors. Ending that type of cooperation shall, where appropriate, be accompanied by a policy dialogue with the countries concerned, focusing on the needs of the poorest and most vulnerable groups.
3. In order to attain the objectives laid down in Article 2, geographic programmes shall be drawn from the areas of cooperation contained in the European Consensus and subsequent agreed modifications thereto as well as from the following areas of cooperation:
(a)
human rights, democracy and good governance:
(i)
human rights, democracy and the rule of law;
(ii)
gender equality, empowerment of and equal opportunities for women;
(iii)
public sector management at central and local level;
(iv)
tax policy and administration;
(v)
fight against corruption;
(vi)
civil society and local authorities;
(vii)
the promotion and protection of the rights of children;
(b)
inclusive and sustainable growth for human development:
(i)
health, education, social protection, employment and culture;
(ii)
business environment, regional integration and world markets;
(iii)
sustainable agriculture; food and nutrition security;
(iv)
sustainable energy;
(v)
natural resources management, including land, forestry and water;
(vi)
climate change and environment;
(c)
other areas of significance for development:
(i)
migration and asylum;
(ii)
linking humanitarian relief and development cooperation;
(iii)
resilience and disaster risk reduction;
(iv)
development and security, including conflict prevention.
4. Further details of the areas of cooperation referred to in paragraph 3 are set out in Annex I.
5. Within each bilateral programme, the Union shall, in principle, concentrate its assistance on a maximum of three sectors, to be agreed with the partner country concerned where possible.
Article 6
Thematic programmes
1. Actions undertaken through thematic programmes shall add value to, and be complementary to and coherent with, actions funded under geographic programmes.
2. At least one of the following conditions shall apply to the programming of thematic actions:
(a)
Union policy objectives under this Regulation cannot be achieved in an appropriate or effective manner through geographic programmes, including, where appropriate, where there is no geographic programme or where it has been suspended or where there is no agreement on the action with the partner country concerned;
(b)
the actions address global initiatives supporting internationally agreed development goals or global public goods and challenges;
(c)
the actions have a multi-regional, multi-country and/or cross-cutting nature;
(d)
the actions implement innovative policies or initiatives with the objective of informing future actions;
(e)
the actions reflect a Union policy priority or an international obligation or commitment of the Union relevant to development cooperation.
3. Unless otherwise provided for in this Regulation, thematic actions shall directly benefit countries or territories specified in point (b) of Article 1(1) and shall be carried out in those countries or territories. Such actions may be carried out outside those countries or territories when it is the most effective way of achieving the objectives of the programme concerned.
Article 7
Global Public Goods and Challenges
1. The objective of Union assistance under the ‘Global Public Goods and Challenges’ programme shall be to support actions in areas to be drawn from:
(a)
environment and climate change;
(b)
sustainable energy;
(c)
human development, including decent work, social justice and culture;
(d)
food and nutrition security and sustainable agriculture; and
(e)
migration and asylum.
2. Further details of the areas of cooperation referred to in paragraph 1 are set out in Part A of Annex II.
Article 8
Civil Society Organisations and Local Authorities
1. The objective of Union assistance under the ‘Civil Society Organisations and Local Authorities’ programme shall be to strengthen civil society organisations and local authorities in partner countries and, where provided for in this Regulation, in the Union and in the beneficiaries eligible under Regulation (EU) No 231/2014.
The actions to be financed shall be primarily carried out by civil society organisations and local authorities. Where appropriate, in order to ensure their effectiveness, actions may be carried out by other actors for the benefit of the civil society organisations and the local authorities concerned.
2. Further details of the areas of cooperation under this Article are set out in Part B of Annex II.
Article 9
Pan-African Programme
1. The objective of Union assistance under the Pan-African programme shall be to support the strategic partnership between Africa and the Union, and subsequent modifications and additions thereto, to cover activities of a trans-regional, continental or global nature in and with Africa.
2. The Pan-African programme shall be complementary to and consistent with other programmes under this Regulation, as well as other Union's instruments for financing external action, in particular the European Development Fund and the European Neighbourhood Instrument.
3. Further details of the areas of cooperation under this Article are set out in Annex III.
TITLE III
PROGRAMMING AND ALLOCATION OF FUNDS
Article 10
General framework
1. For geographic programmes, multiannual indicative programmes for partner countries and regions shall be drawn up on the basis of a strategy document as provided for in Article 11.
For thematic programmes, multiannual indicative programmes shall be drawn up as provided for in Article 13.
The Pan-African multiannual indicative programme shall be drawn up as provided for in Article 14.
2. The Commission shall adopt the implementing measures referred to in Article 2 of Regulation (EU) No 236/2014 on the basis of the programming documents referred to in Articles 11, 13 and 14 of this Regulation.
3. Union support may also take the form of measures not covered in the programming documents referred to in Articles 11, 13 and 14 of this Regulation, as provided for in Article 2 of Regulation (EU) No 236/2014.
4. The Union and the Member States shall consult each other at an early stage of and throughout the programming process in order to promote coherence, complementarity and consistency among their cooperation activities. Such consultation may lead to joint programming between the Union and the Member States. The Union shall also consult other donors and development actors, including representatives of civil society, local authorities and other implementing bodies. The European Parliament shall be informed.
5. Programming under this Regulation shall have due regard to human rights and democracy in partner countries.
6. Funds provided for by this Regulation may be left unallocated in order to ensure an appropriate response of the Union in the event of unforeseen circumstances, in particular in fragile, crisis and post-crisis situations, as well as to allow for the synchronisation with partner countries' strategy cycles and the modification of indicative financial allocations as a result of the reviews carried out pursuant to Article 11(5), Article 13(2) and Article 14(3). Subject to their subsequent allocation or re-allocation in accordance with the procedures provided for in Article 15, the use of those funds shall be decided at a later date in accordance with Regulation (EU) No 236/2014.
The part of funds left unallocated at the level of each type of programme shall not exceed 5 %, except for the purpose of synchronisation and for countries referred to in Article 12(1).
7. Without prejudice to Article 2(3), the Commission may include a specific financial allocation to assist partner countries and regions in strengthening their cooperation with neighbouring Union outermost regions.
8. Any programming or review of programmes taking place after the publication of the mid-term review report referred to in Article 17 of Regulation (EU) No 236/2014 shall take into account the results, findings and conclusions of that report.
Article 11
Programming documents for geographic programmes
1. The preparation, implementation and review of all programming documents under this Article shall comply with the principles of policy coherence for development and those of aid effectiveness, namely democratic ownership, partnership, coordination, harmonisation, alignment with partner country or regional systems, transparency, mutual accountability and results orientation as laid down in Article 3(4) to (8). Where possible, the programming period shall be synchronised with partner country strategy cycles.
Programming documents for geographic programmes, including joint programming documents, shall be based, to the extent possible, on a dialogue between the Union, the Member States and the partner country or region concerned, including national and regional parliaments, and shall involve civil society and local authorities and other parties so as to enhance ownership of the process and to encourage support for national development strategies, particularly for those aimed at reducing poverty.
2. Strategy papers shall be drawn up by the Union for the partner country or region concerned to provide a coherent framework for development cooperation between the Union and that partner country or region, consistent with the overall purpose and scope, objectives, principles and policy provisions set out in this Regulation.
3. No strategy paper shall be required for:
(a)
countries having a national development strategy in the form of a national development plan or a similar development document accepted by the Commission as a basis for the corresponding multiannual indicative programme, at the time of adoption of the latter document;
(b)
countries or regions for which a joint framework document laying down a comprehensive Union strategy, including a specific chapter on development policy, has been drawn up;
(c)
countries or regions for which a joint multiannual programming document between the Union and Member States has been agreed;
(d)
regions having a jointly agreed strategy with the Union;
(e)
countries where the Union intends to synchronise its strategy with a new national cycle starting before 1 January 2017; in such cases the multiannual indicative programme for the interim period between 1 January 2014 and the beginning of the new national cycle shall contain the Union's response for that country;
(f)
countries or regions receiving an allocation of Union funds under this Regulation not exceeding EUR 50 000 000 for the 2014-2020 period.
In the cases referred to in points (b) and (f) of the first subparagraph, the multiannual indicative programme for the country or region concerned shall contain the Union's development strategy for that country or region.
4. Strategy papers shall be reviewed at their mid-term or on an ad hoc basis as necessary, in accordance, as appropriate, with the principles and procedures laid down in the partnership and cooperation agreements concluded with the partner country or region concerned.
5. Multiannual indicative programmes for geographic programmes shall be drawn up for each of the countries or regions receiving an indicative financial allocation of Union funds under this Regulation. Except for countries or regions referred to in points (e) and (f) of the first subparagraph of paragraph 3, those documents shall be drawn up on the basis of the strategy papers or equivalent documents as referred to in paragraph 3.
For the purpose of this Regulation, the joint multiannual programming document referred to in point (c) of the first subparagraph of paragraph 3 of this Article may be considered as the multiannual indicative programme, provided that it complies with the principles and conditions established in this paragraph, including an indicative allocation of funds, and with the procedures provided for in Article 15.
Multiannual indicative programmes for geographic programmes shall set out the priority areas selected for Union financing, the specific objectives, the expected results, clear, specific and transparent performance indicators, the indicative financial allocations, both overall and per priority area and, where applicable, aid modalities.
The Commission shall adopt the multiannual indicative financial allocations within each geographic programme in accordance with the general principles of this Regulation, based on the criteria laid down in Article 3(2), and taking into account, alongside the specificity of the different programmes, the particular difficulties faced by countries or regions that are in crisis, are vulnerable, fragile, in conflict or are disaster prone.
Where appropriate, the financial allocations may be given in the form of a range and/or some funds may be left unallocated. No indicative financial allocations may be foreseen beyond the period 2014-2020, unless they are specifically subject to the availability of resources beyond that period.
The multiannual indicative programmes for geographic programmes may be reviewed where necessary, including for effective implementation, taking into account mid-term or ad hoc reviews of the strategy document on which they are based.
Indicative financial allocations, priorities, specific objectives, expected results, performance indicators and, where applicable, aid modalities may also be adapted as a result of reviews, in particular following a crisis or post-crisis situation.
Such reviews should cover needs as well as the commitment and progress with regard to agreed objectives for development, including those referring to human rights, democracy, the rule of law and good governance.
6. The Commission shall report on joint programming with Member States in the mid-term review report referred to in Article 17 of Regulation (EU) No 236/2014 and shall include recommendations in cases where joint programming was not fully achieved.
Article 12
Programming for countries and regions in crisis, post-crisis or situations of fragility
1. When drawing up the programming documents for countries and regions in crisis, post-crisis or situations of fragility or prone to natural disasters, due account shall be taken of the vulnerability, special needs and circumstances of the countries or regions concerned.
Proper attention should be given to conflict prevention, State and peace building, post-conflict reconciliation and reconstruction measures, as well as to the role of women and the rights of children in those processes.
Where partner countries or regions are directly involved in, or affected by, a crisis, post-crisis or situation of fragility, special emphasis shall be placed on stepping up coordination between relief, rehabilitation and development amongst all relevant actors to help the transition from an emergency situation to the development phase.
Programming documents for countries and regions in a situation of fragility or prone to natural disasters shall provide for disaster preparedness and prevention and for managing the consequences of such disasters and shall address vulnerability to shocks and strengthen resilience.
2. On duly justified imperative grounds of urgency, such as crises or immediate threats to democracy, the rule of law, human rights or fundamental freedoms, the Commission may adopt immediately applicable implementing acts in accordance with the procedure referred to in Article 16(4) of Regulation (EU) No 236/2014 in order to modify strategy papers and multiannual indicative programmes referred to in Article 11 of this Regulation.
Such reviews may entail a specific and adapted strategy to ensure the transition to long-term cooperation and development, promoting a better coordination and transition between the humanitarian and development policy instruments.
Article 13
Programming documents for thematic programmes
1. Multiannual indicative programmes for thematic programmes shall set out the Union's strategy for the theme concerned and, with regard to the ‘Global Public Goods and Challenges’ programme, for each area of cooperation, the priorities selected for financing by the Union, the specific objectives, the expected results, clear, specific and transparent performance indicators, the international situation and the activities of the main partners and, where applicable, aid modalities.
Where applicable, resources and intervention priorities shall be laid down for participation in global initiatives.
Multiannual indicative programmes for thematic programmes shall be complementary to geographic programmes and shall be consistent with the strategy papers referred to in Article 11(2).
2. The multiannual indicative programmes for thematic programmes shall give the indicative financial allocation, overall, by area of cooperation and by priority. Where appropriate, the indicative financial allocation may be given in the form of a range and/or some funds may be left unallocated.
Multiannual indicative programmes for thematic programmes shall be reviewed where necessary for effective implementation, taking into account mid-term or ad hoc reviews.
Indicative financial allocations, priorities, specific objectives, expected results, performance indicators and, where applicable, aid modalities may also be adapted as a result of reviews.
Article 14
Programming documents for the Pan-African programme
1. The preparation, implementation and review of the programming documents for the Pan-African programme shall comply with the principles of aid effectiveness as laid down in Article 3(4) to (8).
Programming documents for the Pan-African programme shall be based on a dialogue involving all relevant stakeholders, such as the Pan-African Parliament.
2. The multiannual indicative programme for the Pan-African programme shall set out the priorities selected for financing, the specific objectives, the expected results, clear, specific and transparent performance indicators and, where applicable, aid modalities.
The multiannual indicative programme for the Pan-African programme shall be coherent with geographic and thematic programmes.
3. The multiannual indicative programme for the Pan-African programme shall give the indicative financial allocations, overall, by area of activity and by priority. Where appropriate, the indicative financial allocation may be given in the form of a range.
The multiannual indicative programme for the Pan-African programme may be reviewed where necessary, to respond to unforeseen challenges or implementation problems, and to take into account any review of the strategic partnership.
Article 15
Approval of strategy papers and adoption of multiannual indicative programmes
1 The Commission shall approve strategy papers referred to in Article 11 and shall adopt multiannual indicative programmes referred to in Articles 11, 13 and 14 by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(3) of Regulation (EU) No 236/2014. That procedure shall also apply to reviews which have the effect of significantly modifying the strategy or its programming.
2. On duly justified imperative grounds of urgency, such as crises or immediate threats to democracy, the rule of law, human rights or fundamental freedoms, the Commission may review strategy papers referred to in Article 11 of this Regulation and multiannual indicative programmes referred to in Articles 11, 13 and 14 of this Regulation in accordance with the procedure referred in Article 16(4) of Regulation (EU) No 236/2014.
TITLE IV
FINAL PROVISIONS
Article 16
Participation by a third country not eligible under this Regulation
In exceptional and duly justified circumstances, and without prejudice to Article 2(3) of this Regulation, in order to ensure the coherence and effectiveness of Union financing or to foster regional or trans-regional cooperation, the Commission may decide, within the multiannual indicative programmes in accordance with Article 15 of this Regulation or the relevant implementing measures in accordance with Article 2 of Regulation (EU) No 236/2014, to extend the eligibility of actions to countries and territories which otherwise would not be eligible for financing pursuant to Article 1 of this Regulation, where the action to be implemented is of a global, regional, trans-regional or cross-border nature.
Article 17
Delegation of power to the Commission
1. The Commission shall be empowered to adopt delegated acts in accordance with Article 18 to amend:
(a)
the details of areas of cooperation referred to in:
(i)
Article 5(3) as set out in Part A and Part B of Annex I;
(ii)
Article 7(2) as set out in Part A of Annex II;
(iii)
Article 8(2) as set out in Part B of Annex II;
(iv)
Article 9(3) as set out in Annex III, in particular in follow-up to Africa-EU Summits;
(b)
indicative financial allocations under the geographic programmes and under the thematic programme ‘Global Public Goods and Challenges’, as set out in Annex IV. The amendments shall not have the effect of decreasing the initial amount by more than 5 %, except for allocations under point (b) of Annex IV(1).
2. In particular, following the publication of the mid-term review report referred to in Article 17 of Regulation (EU) No 236/2014, and based on the recommendations contained in that report, the Commission shall adopt the delegated acts referred to in paragraph 1 of this Article by 31 March 2018.
Article 18
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 17 shall be conferred on the Commission for the period of validity of this Regulation.
3. The delegation of power referred to in Article 17 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
5. A delegated act adopted pursuant to Article 17 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 19
Committee
1. The Commission shall be assisted by a committee (the ‘DCI committee’). That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. An observer from the EIB shall take part in the DCI committee's proceedings with regard to questions concerning the EIB.
Article 20
Financial envelope
1. The financial envelope for the implementation of this Regulation for the period 2014-2020 shall be EUR 19 661 639 000.
The annual appropriations shall be authorised by the European Parliament and the Council within the limits of the multiannual financial framework.
2. The indicative amounts allocated to each programme referred to in Articles 5 to 9 for the period 2014-2020 are laid down in Annex IV.
3. In accordance with Article 18(4) of Regulation (EU) No 1288/2013 of the European Parliament and of the Council (16), an indicative amount of EUR 1 680 000 000 from the different instruments for financing external action (Development Cooperation Instrument, European Neighbourhood Instrument, Partnership Instrument and Instrument for Pre-accession Assistance) shall be allocated to actions in respect of learning mobility to or from partner countries within the meaning of Regulation (EU) No 1288/2013, and to cooperation and policy dialogue with authorities, institutions and organisations from those countries.
Regulation (EU) No 1288/2013 shall apply to the use of those funds.
The funding shall be made available through two multiannual allocations covering the first four years and the remaining three years respectively. The allocation of that funding shall be reflected in the multiannual indicative programming provided for in this Regulation, in line with the identified needs and priorities of the countries concerned. The allocations may be revised in the event of major unforeseen circumstances or important political changes in line with the priorities of the Union's external action.
4. The funding under this Regulation for actions referred to in paragraph 3 shall not exceed EUR 707 000 000. The funds shall be drawn from the financial allocations for geographic programmes, and the expected regional distribution and the types of actions shall be specified. Funding pursuant to this Regulation aimed at financing actions covered by Regulation (EU) No 1288/2013 shall be used for actions for the benefit of the partner countries which are covered by this Regulation, with particular attention paid to the poorest countries. The student and staff mobility actions funded through the allocation from this Regulation shall focus on areas that are relevant to the inclusive and sustainable development of developing countries.
5. The Commission shall include in its annual report on the implementation of this Regulation, as provided for in Article 13 of Regulation (EU) No 236/2014, a list of all actions referred to in paragraph 3 of this Article the funding of which is derived from this Regulation, including their compliance with the objectives and principles set out in Articles 2 and 3 of this Regulation.
Article 21
European External Action Service
This Regulation shall apply in accordance with Decision 2010/427/EU.
Article 22
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2014 until 31 December 2020.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 11 March 2014.