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Regulation (EU) 2021/947 of the European Parliament and of the Council of 9 June 2021 establishing the Neighbourhood, Development and International Cooperation Instrument – Global Europe, amending and repealing Decision No 466/2014/EU of the European Parliament and of the Council and repealing Regulation (EU) 2017/1601 of the European Parliament and of the Council and Council Regulation (EC, Euratom) No 480/2009 (Text with EEA relevance)Text with EEA relevance
Consolidated text: Regulation (EU) 2021/947 of the European Parliament and of the Council of 9 June 2021 establishing the Neighbourhood, Development and International Cooperation Instrument – Global Europe, amending and repealing Decision No 466/2014/EU of the European Parliament and of the Council and repealing Regulation (EU) 2017/1601 of the European Parliament and of the Council and Council Regulation (EC, Euratom) No 480/2009 (Text with EEA relevance)Text with EEA relevance
Regulation (EU) 2021/947 of the European Parliament and of the Council of 9 June 2021 establishing the Neighbourhood, Development and International Cooperation Instrument – Global Europe, amending and repealing Decision No 466/2014/EU of the European Parliament and of the Council and repealing Regulation (EU) 2017/1601 of the European Parliament and of the Council and Council Regulation (EC, Euratom) No 480/2009 (Text with EEA relevance)Text with EEA relevance
02021R0947 — EN — 14.06.2021 — 000.002
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
►C1 REGULATION (EU) 2021/947 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 9 June 2021
establishing the Neighbourhood, Development and International Cooperation Instrument – Global Europe, amending and repealing Decision No 466/2014/EU of the European Parliament and of the Council and repealing Regulation (EU) 2017/1601 of the European Parliament and of the Council and Council Regulation (EC, Euratom) No 480/2009 ◄
(OJ L 209 14.6.2021, p. 1)
REGULATION (EU) 2021/947 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 9 June 2021
establishing the Neighbourhood, Development and International Cooperation Instrument – Global Europe, amending and repealing Decision No 466/2014/EU of the European Parliament and of the Council and repealing Regulation (EU) 2017/1601 of the European Parliament and of the Council and Council Regulation (EC, Euratom) No 480/2009
(Text with EEA relevance)
This Regulation establishes the Neighbourhood, Development and International Cooperation Instrument – Global Europe (the ‘Instrument’), including the European Fund for Sustainable Development Plus (the ‘EFSD+’) and the External Action Guarantee, for the period of the 2021-2027 MFF.
It lays down the objectives of the Instrument, the budget for the period from 2021 to 2027, the forms of Union funding and the rules for providing such funding.
For the purposes of this Regulation, the following definitions apply:
‘country indicative programme’ means an indicative programme covering one country;
‘multi-country indicative programme’ means an indicative programme covering more than one country;
‘regional indicative programme’ means a multi-country indicative programme covering more than one third country within the same geographic area as established in Article 4(2);
‘trans-regional indicative programme’ means a multi-country indicative programme covering more than one third country from different geographic areas as established in Article 4(2);
‘cross-border cooperation’ means cooperation between one or more Member States, and one or more third countries and territories along the external adjacent land and maritime borders of the Union and shall be understood to cover also transnational cooperation over larger transnational territories or around sea basins and interregional cooperation as laid down in a Regulation of the European Parliament and of the Council on specific provisions for the European territorial cooperation goal (Interreg) supported by the European Regional Development Fund and external financing instruments (the ‘Interreg Regulation’);
‘legal entity’ means a natural person, or a legal person created and recognised as such under Union, national or international law, which has legal personality and the capacity to act in its own name, exercise rights and be subject to obligations, or an entity which does not have legal personality as referred to in point (c) of Article 197(2) of the Financial Regulation;
‘civil society organisation’ means a wide range of actors with multiple roles and mandates, which may vary over time and across institutions and countries, and includes all non-State, not-for-profit independent and non-violent structures, through which people organise the pursuit of shared objectives and ideals, including political, cultural, religious, environmental, social or economic, and which operate at local, national, regional or international levels, and which comprise urban and rural, formal and informal organisations;
‘local authority’ encompasses public institutions with legal personality, which are components of the State structure, below the level of central government, such as villages, municipalities, districts, counties, provinces or regions, which are accountable to citizens and usually composed of a deliberative or policy-making body, such as a council or assembly, and an executive body, such as a mayor or other executive officer, which are directly or indirectly elected or selected at local level;
‘investment window’ means a targeted area for support by the External Action Guarantee under the EFSD+ to portfolios of investments in specific regions, countries or sectors;
‘additionality’ means the principle based on Article 209(2) of the Financial Regulation, according to which, in the context of this Regulation and the IPA III Regulation, the External Action Guarantee support under the EFSD+ contributes to sustainable development by operations which could not have been carried out without that Guarantee, or which achieve positive results above and beyond what could have been achieved without it. The principle of additionality also means that the operations supported by the External Action Guarantee crowd in private sector funding and address market failures or sub-optimal investment situations as well as improve the quality, sustainability, impact or scale of an investment. The principle also ensures that External Action Guarantee operations do not replace the support of a Member State, private funding or another Union or international financial intervention, and avoid crowding out other public or private investments unless duly justified in accordance with the objectives and principles of the Instrument. Projects supported by the External Action Guarantee typically have a higher risk profile than the portfolio of investments supported by the eligible counterparts under their normal investment policies without the External Action Guarantee;
‘operation with sovereign counterparts and non-commercial sub-sovereign counterparts’ means any operation where the counterpart is either directly a State or a public entity fully backed by an explicit guarantee of the State because it does not have the legal capacity or the financial autonomy or ability to benefit from necessary direct financing;
‘operation with commercial sub-sovereign counterparts’ means any operation where the counterpart is a public entity which is not backed by an explicit guarantee of a State and that is financially able to borrow at its own risk and has the legal capacity to do so;
‘contributor’ means an international finance institution, a Member State or a public institution of a Member State, a public agency or other public or private entity contributing to the common provisioning fund;
‘partner country’ means a country or territory that may benefit from Union support under the Instrument pursuant to Article 4.
For the purposes of this Regulation, where reference is made to human rights, it shall be understood to include fundamental freedoms.
Objectives of the Instrument
The general objectives of the Instrument are to:
uphold and promote the Union’s values, principles and fundamental interests worldwide, in order to pursue the objectives and principles of the Union’s external action, as laid down in Article 3(5) and Articles 8 and 21 TEU, thus contributing to the reduction and, in the long term, the eradication of poverty, to consolidating, supporting and promoting democracy, the rule of law and respect for human rights, sustainable development and the fight against climate change and addressing irregular migration and forced displacement, including their root causes;
contribute to the promotion of multilateralism, the achievement of the international commitments and objectives that the Union has agreed to, in particular the SDGs, the 2030 Agenda and the Paris Agreement;
promote stronger partnerships with third countries, including with the European Neighbourhood Policy countries based on mutual interests and ownership with a view to fostering stabilisation, good governance and building resilience.
The specific objectives of the Instrument are:
to support and foster dialogue and cooperation with third countries and regions in the Neighbourhood, in Sub-Saharan Africa, in Asia and the Pacific, and in the Americas and the Caribbean;
to develop special strengthened partnerships and enhanced political cooperation with the European Neighbourhood Policy countries, founded on cooperation, peace and stability and a shared commitment to the universal values of democracy, the rule of law and respect for human rights, and aiming towards deep and sustainable democracy and progressive socio-economic integration as well as people-to-people contacts;
at global level:
to protect, promote and advance democracy, the rule of law, including accountability mechanisms, and human rights, including gender equality and the protection of human rights defenders, including in the most difficult circumstances and urgent situations;
to support civil society organisations;
to further stability and peace and prevent conflict, thereby contributing to the protection of civilians; and
to address other global challenges such as climate change, the protection of biodiversity and the environment, as well as migration and mobility;
to respond rapidly to:
situations of crisis, instability and conflict, including those which may result from migratory flows and forced displacement, and hybrid threats;
resilience challenges, including natural and man-made disasters, and linking of humanitarian aid and development action; and
Union foreign policy needs and priorities.
Scope and structure
Union funding under the Instrument shall be implemented through:
rapid response actions.
The geographic programmes shall encompass country and multi-country cooperation in the following areas:
Asia and the Pacific;
Americas and the Caribbean.
Geographic programmes may cover all third countries, except for candidates and potential candidates as defined in the IPA III Regulation and overseas countries and territories.
Geographic programmes of a continental or trans-regional scope may also be established, in particular a pan-African programme covering African countries under points (a) and (b) of the first subparagraph and a programme covering African, Caribbean and Pacific countries under points (b), (c) and (d) of the first subparagraph.
Geographic programmes in the Neighbourhood area may cover any country or territory listed in Annex I.
In order to attain the objectives of the Instrument, geographic programmes shall be based on the areas of cooperation set out in Annex II.
The thematic programmes shall encompass actions linked to the pursuit of the SDGs at global level, in the following areas:
Human Rights and Democracy;
Civil Society Organisations;
Peace, Stability and Conflict Prevention;
Thematic programmes may cover all third countries as well as overseas countries and territories.
In order to attain the objectives of the Instrument, thematic programmes shall be based on the areas of intervention set out in Annex III.
The rapid response actions shall enable early action to:
contribute to peace, stability and conflict prevention in situations of urgency, emerging crisis, crisis and post-crisis, including those which may result from migratory flows and forced displacement;
contribute to strengthening the resilience of states, societies, communities and individuals and to linking humanitarian aid and development action and, where relevant, peacebuilding;
address Union foreign policy needs and priorities.
Rapid response actions may cover all third countries as well as overseas countries and territories.
In order to attain the objectives of the Instrument, rapid response actions shall be based on the areas of intervention set out in Annex IV.
Actions under the Instrument shall be implemented primarily through geographic programmes.
Actions implemented through thematic programmes shall be complementary to actions funded under geographic programmes and shall support global and trans-regional initiatives aimed towards achieving internationally agreed goals, in particular the SDGs and the Paris Agreement, as well as protecting global public goods or addressing global challenges. Actions implemented through thematic programmes may also be undertaken where:
there is no geographic programme;
the geographic programme has been suspended;
there is no agreement on the action with the partner country concerned; or
the action cannot be adequately addressed by geographic programmes.
Rapid response actions shall be complementary to geographic and thematic programmes. Rapid response actions shall be designed and implemented to enable, where relevant, their continuity under geographic or thematic programmes.
The Commission is empowered to adopt a delegated act in accordance with Article 44 by 31 December 2021, to supplement this Regulation with provisions setting out:
specific objectives and priority areas of cooperation drawn from the areas of cooperation for the geographic programmes in Annex II, including a prioritisation, for the following sub-regions: Neighbourhood South, Neighbourhood East, West Africa, East and Central Africa, Southern Africa and Indian Ocean, Middle East, Central Asia, South Asia, North and South East Asia, the Pacific, the Americas and the Caribbean;
indicative thematic targets for the geographic pillar; and
indicative financial allocations for West Africa, East and Central Africa, Southern Africa and Indian Ocean sub-regions.
The delegated act referred to in the first subparagraph of this paragraph shall be reviewed at the mid-term evaluation referred to in Article 42(2).
Consistency, coherence, synergies and complementarity
For that purpose, the Union shall take into account the impact of all internal and external policies on sustainable development and shall seek to promote increased synergies and complementarities in particular with trade policy, economic cooperation and other sectorial cooperation.
The financial envelope referred to in paragraph 1 shall be composed of:
EUR 60 388 000 000 for geographic programmes:
EUR 6 358 000 000 for thematic programmes:
EUR 3 182 000 000 for rapid response actions.
The association agreements, partnership and cooperation agreements, multilateral agreements to which the Union is a party, and other agreements that establish a legally binding relationship between the Union and partner countries as well as European Council conclusions, Council conclusions, summit declarations or conclusions of meetings with partner countries at the level of heads of state or government or ministers, European Parliament resolutions, communications of the Commission and the High Representative of the Union for Foreign Affairs and Security Policy (the ‘High Representative’) shall constitute the overall policy framework for the implementation of the Instrument.
The Union shall promote a multilateral and rules-based and values-based approach to global goods and challenges and shall cooperate with Member States, partner countries, international organisations and other donors in that respect.
The Union shall promote effective multilateralism in fostering cooperation with international organisations and other donors.
The Union shall take into account and take up in the regular political dialogue with partner countries their track record in implementing obligations and commitments, including the 2030 Agenda, international human rights conventions, and other conventions, including those on nuclear safety standards, international agreements, in particular the Paris Agreement, and contractual relations with the Union, in particular association agreements, partnership and cooperation agreements and trade agreements.
In line with the principle of inclusive partnership and transparency, where appropriate, the Commission shall ensure that relevant stakeholders of partner countries, including civil society organisations and local authorities, are duly consulted and have timely access to relevant information allowing them to be adequately involved and play a meaningful role in the design, implementation and associated monitoring processes of programmes. Where appropriate, the Commission shall also ensure that an enhanced dialogue is pursued with the private sector.
In line with the principle of ownership, the Commission, where appropriate, shall favour the use of partner countries’ institutions and systems for the implementation of programmes.
The Union and the Member States shall coordinate their respective support programmes with the aim of increasing effectiveness and efficiency.
The Union shall foster inclusiveness in the implementation of the Instrument and collaboration with Member States, seeking to maximise added value and taking into account experience and capacities, thus reinforcing shared interests, values and common goals. The Union shall encourage the exchange of best practices and knowledge sharing among Member States’ bodies and experts.
Such actions shall be based on regular and robust conflict analysis to ensure conflict sensitivity and to implement a security sector reform approach that contributes to democratic governance, accountability and human security, including benefits for the local population. Those measures shall be embedded, where relevant, in the context of longer term assistance aimed at reforming the security sector.
Capacity building of military actors in support of development and security for development
Assistance pursuant to this Article shall be provided only:
where requirements cannot be met by recourse to non-military actors to adequately reach Union objectives under the Instrument and there is a threat to the existence of functioning State institutions or to the protection of human rights and fundamental freedoms and State institutions cannot cope with that threat; and
where a consensus exists between the partner country concerned and the Union that military actors are key for preserving, establishing or re-establishing the conditions essential for sustainable development, including in crises and fragile or destabilised contexts and situations.
Union assistance pursuant to this Article shall not be used to finance capacity building of military actors for purposes other than the delivery of development activities and security for development activities. In particular, it shall not be used to finance any of the following:
recurrent military expenditure;
the procurement of arms and ammunition, or any other equipment designed to deliver lethal force;
training which is designed to contribute specifically to the fighting capacity of the armed forces.
IMPLEMENTATION OF THE INSTRUMENT
Scope of the geographic programmes
In order to attain the objectives of the Instrument geographic programmes shall be drawn up from the following areas of cooperation:
good governance, democracy, the rule of law and human rights, including gender equality;
eradicating poverty, fighting against inequalities and discrimination, and promoting human development;
migration, forced displacement and mobility;
environment and climate change;
inclusive and sustainable economic growth and decent employment;
peace, stability and conflict prevention;
Scope of the thematic programmes
In order to attain the objectives of the Instrument, thematic programmes shall cover the following areas of intervention:
Human Rights and Democracy: advancing:
the fundamental values of democracy;
the rule of law;
the universality, indivisibility and interdependence of human rights;
respect for human dignity;
the principles of non-discrimination, equality and solidarity;
respect for the principles of the Charter of the UN and international human rights law;
Civil Society Organisations:
inclusive, participatory, empowered and independent civil society and democratic space in partner countries;
inclusive and open dialogue with and between civil society actors;
awareness, understanding, knowledge and engagement of European citizens regarding development issues;
Peace, Stability and Conflict Prevention:
assistance for conflict prevention, peacebuilding and crisis preparedness;
assistance in addressing global and trans-regional threats and emerging threats;
gender equality and women’s and girls’ empowerment;
children and youth;
migration, forced displacement and mobility;
decent work, social protection, inequality and inclusion;
ensuring a healthy environment and tackling climate change;
sustainable and inclusive growth, decent jobs and private sector engagement;
food and nutrition security;
strengthen the role of local authorities as actors of development;
promote inclusive societies and multi-stakeholder initiatives, good economic governance, including fair and inclusive domestic revenue mobilisation;
support the assessment and documentation of progress in implementing partnership and effectiveness principles.
General programming approach
On the basis of Article 7, programming under the Instrument shall be based on the following:
programming documents shall provide a coherent framework for cooperation between the Union and partner countries or regions, consistent with the overall purpose and scope, objectives and principles set out in this Regulation;
when drawing up the programming documents for partner countries and regions in situations of crisis, post-crisis or fragility and vulnerability a conflict analysis shall be conducted to ensure conflict sensitivity and due account shall be taken of the special needs and circumstances of the partner countries or regions concerned and of their population; where partner countries or regions are directly involved in, or affected by a situation of crisis, post-crisis or fragility, special emphasis shall be placed on stepping up coordination amongst all relevant actors to help with the transition from an emergency situation to sustainable development and stable peace, including the prevention of violence;
the Union and the Member States shall ensure inclusive consultations with each other at an early stage of and throughout the programming process in order to promote coherence, complementarity and consistency among their cooperation activities; joint programming shall be the preferred approach for country programming and its implementation shall be flexible, inclusive and driven at country level. Joint programming shall be open to other relevant donors and actors if the Union and the Member States consider this to be relevant; in addition, the Union and the Member States shall, whenever appropriate, seek to support partner countries through joint implementation;
the Union shall at an early stage of and throughout the programming process encourage a regular multi-stakeholder and inclusive dialogue with other donors and actors, including local authorities, representatives of civil society, foundations and the private sector, where relevant, in order to facilitate their respective contributions, as appropriate, and to ensure they play a meaningful role in the programming process;
the Human Rights and Democracy thematic programme and the Civil Society Organisations thematic programme referred to in points (a) and (b) of Article 4(3), respectively, shall provide assistance independently of the consent of governments and other public authorities of the third countries concerned; these thematic programmes shall mainly support civil society actors at all levels, taking into account forms and methods of implementation, as referred to in Article 27(3).
The European Parliament and the Council shall be informed about the outcome of the consultations envisaged under points (c) and (d) of the first subparagraph.
Programming principles for geographic programmes
Programming of geographic programmes shall be based on the following principles:
without prejudice to paragraph 5, actions shall be based, to the extent possible, on an early, continuous and inclusive dialogue between the Union, Member States and the partner countries concerned, including national, regional and local authorities, involving civil society organisations, national, regional and local parliaments and other stakeholders, in order to enhance democratic ownership of the process and to encourage support for national and regional strategies;
where appropriate, the programming period shall be synchronised and aligned with the strategy cycles of partner countries;
programming may envisage cooperation activities funded from different allocations set out in Article 6(2) and from other Union programmes according to their basic acts.
Programming of geographic programmes shall provide a specific, tailor-made framework for cooperation based on:
the partners’ needs, established on the basis of specific criteria, taking into account the population, poverty, inequality, human development, economic and environmental vulnerability, and state and societal resilience and the impact of protracted and recurrent crises;
the partners’ capacity and commitment to promote shared values, principles and interests, including human rights, fundamental freedoms, democracy, the rule of law, good governance, fight against corruption, open civic space and gender equality and to support common goals and multilateral alliances and cooperation, a rules-based international system, as well as the advancement of Union priorities;
the partners’ commitments, including those jointly agreed with the Union, and performance established on the basis of criteria such as political reform; and economic and social development, environmental sustainability, and the effective use of aid, taking into account the specificities and development level of partner countries;
the potential impact of Union funding in partner countries and regions;
the partners’ capacities to mobilise and make effective use of domestic resources as well as to access financial resources, to manage resources transparently in support of national development priorities and their absorption capacities.
Programming documents for geographic programmes
The multiannual indicative programmes shall be built on:
a national or regional strategy in the form of a development plan or a similar document accepted by the Commission as a basis for the corresponding multiannual indicative programme, at the time of adoption of the latter document;
a framework document laying down the Union policy towards the partner or partners concerned, including a joint document between the Union and Member States;
a joint document between the Union and the partner or partners concerned setting out common priorities and mutual commitments.
Programming documents for thematic programmes
Where applicable, resources and intervention priorities shall be laid down for participation in global initiatives.
Adoption and amendment of multiannual indicative programmes
Emerging challenges and priorities cushion
The amount referred to in Article 6(3) shall be used where most needed and duly justified, inter alia:
to ensure an appropriate response of the Union in the event of unforeseen circumstances;
to address new needs or emerging challenges, such as those at the Union’s or its neighbours’ borders linked to crisis, whether natural or man-made, violent conflict and post-crisis situations or migratory pressure and forced displacement;
to promote new Union led or international initiatives or priorities.
Specific provisions for the Neighbourhood area
Specific objectives for the Neighbourhood area
In accordance with Articles 3 and 4, the specific objectives of Union support under the Instrument for the Neighbourhood area are to:
promote enhanced political cooperation and strengthen and consolidate deep and sustainable democracy, stability, good governance, the rule of law and the respect for human rights;
support the implementation of association agreements or other existing and future agreements, and jointly agreed association agendas and partnership priorities or equivalent documents, including through institutional cooperation and capacity building;
promote a strengthened partnership with societies between the Union and the partner countries, and among the partner countries, including through people-to-people contacts and a wide range of activities with a specific focus on youth;
enhance regional and cross-border cooperation, in particular in the framework of the Eastern Partnership, the Union for the Mediterranean, European Neighbourhood-wide collaboration as well as Black Sea regional cooperation, Arctic cooperation, the Northern Dimension, including in the areas of energy and security;
achieve progressive integration into the Union internal market and enhanced sectoral and cross-sectoral cooperation, including through legislative approximation and regulatory convergence towards Union and other relevant international norms and standards, and improved market access, including through deep and comprehensive free trade areas, related institution building and investment;
strengthen partnerships on well-managed and safe migration and mobility and, where applicable and provided that conditions for well-managed and secure mobility are in place, support the implementation of existing visa-free regimes, in line with the revised visa suspension mechanism, visa liberalisation dialogues and bilateral or regional agreements and arrangements with third countries, including mobility partnerships;
support confidence-building and other measures contributing to security, the prevention and settlement of conflicts, including support to affected populations and reconstruction.
Programming documents and allocation criteria
By way of derogation from Article 13(2) and (3), Union support under geographic programmes in the Neighbourhood area shall be differentiated in form and in amounts, taking into account the partner country’s:
needs, using indicators such as population, inequalities and level of development;
commitment to and progress in implementing jointly agreed political, economic, environmental and social reform objectives;
commitment to and progress in building deep and sustainable democracy, the rule of law, good governance, human rights, and the fight against corruption;
partnership with the Union, including the level of ambition for that partnership;
absorption capacity and potential impact of Union support under the Instrument.
Multi-country indicative programmes
Multi-country indicative programmes in the Neighbourhood area shall address challenges common to all or a number of partner countries, based on priorities of the Eastern Partnership and the southern dimension of the reviewed European Neighbourhood Policy and taking into account the work carried out in the context of the Union for the Mediterranean, and regional, trans-regional and sub-regional cooperation, primarily between two or more partner countries, including also within the framework of the Northern Dimension and Black Sea Synergy regional cooperation.
Action plans, measures and implementing methods
Action plans and measures
An exceptional assistance measure may have a duration of up to 18 months, which may be extended twice by a further period of up to six months, up to a total maximum duration of 30 months, in the event of objective and unforeseen obstacles to its implementation, provided that there is no increase in the financial amount of the measure.
In cases of protracted crisis and conflict, the Commission may adopt a second exceptional assistance measure of a duration of up to 18 months. In duly justified cases, further measures may be adopted where the continuity of the Union’s action is essential and cannot be ensured by other means.
Where support expenditure is not included in the action plans or measures referred to in Article 23, the Commission shall adopt support measures, where applicable. Union financing under support measures may cover:
studies, meetings, information, awareness-raising, training, preparation and exchange of lessons learnt and best practices, publication activities and any other administrative or technical assistance expenditure necessary for the programming and management of actions, including remunerated external experts;
research and innovation activities and studies on relevant issues and the dissemination thereof;
expenditure related to the provision of information and communication actions, including the development of communication strategies and corporate communication and visibility of the political priorities of the Union.
Adoption of action plans and measures
The procedure referred to in paragraph 1 shall not be required for:
individual measures for which the Union’s funding does not exceed EUR 5 000 000 ;
special and support measures as well as action plans adopted in order to implement rapid response actions for which the Union’s funding does not exceed EUR 10 000 000 ;
exceptional assistance measures referred to in Article 23(6) for which the Union’s funding does not exceed EUR 20 000 000 ;
technical amendments to action plans and measures, provided such amendments do not substantially affect the objectives of the action plan or measure concerned, such as:
change of method of implementation;
extensions of the implementation period;
reassignments of funds between actions contained in an action plan;
increases or reductions of the budget of action plans and measures by not more than 20 % of the initial budget and not exceeding EUR 10 000 000 .
In case of multiannual action plans and measures, the thresholds referred to in points (a), (b) and (c) and point (d)(iv) of the first subparagraph of paragraph 2 shall be applicable on a yearly basis.
When adopted in accordance with this paragraph, action plans and measures, except exceptional assistance measures, and technical amendments shall be communicated to the European Parliament and to the Member States through the relevant committee referred to in Article 45 within one month of their adoption.
Other appropriate ex ante assessments which are proportionate to the objectives and amounts of the envisaged actions and measures shall be carried out, to determine the possible implications and risks of those actions and measures with regard to human rights, access to natural resources such as land, and social standards including in the form of impact assessments for major actions and measures that are expected to have a significant impact on those areas.
Where relevant, strategic environmental assessments, including the impact on climate change, shall be used in the implementation of sectoral programmes. The involvement of interested stakeholders in environmental assessments and public access to the results of such assessments shall be ensured.
Methods of cooperation
Cooperation between the Union and its partners may take the form of, for example:
triangular arrangements whereby the Union coordinates with third countries its assistance funding to a partner country or region;
administrative and technical cooperation measures, as well as building capacity, including to share transitional or reform implementation experiences of Member States, such as decentralised cooperation through partnerships or twinning, between public institutions, including local authorities, public law bodies or private law entities entrusted with public service tasks of a Member State and those of a partner country or region, as well as cooperation measures involving public sector experts dispatched from the Member States and their regional and local authorities;
contributions to the necessary costs of setting up and administering a public-private partnership, including those for their independent assessment and monitoring, where possible by civil society organisations;
sector policy support programmes whereby the Union provides support to a partner country’s sector programme;
contributions to the cost of the countries’ participation in Union programmes, and to actions implemented by Union agencies and bodies, as well as to bodies or persons entrusted with the implementation of specific actions in the Common Foreign and Security Policy pursuant to Title V TEU.
Forms of Union funding
Union funding may be provided through the types of financing envisaged by the Financial Regulation and in particular:
procurement contracts for services, supplies or works;
contributions to trust funds set up by the Commission, in accordance with Article 234 of the Financial Regulation;
debt relief in the context of internationally agreed debt relief programme;
remunerated external experts.
In addition to the cases referred to in Article 195 of the Financial Regulation, the direct award procedure may be used for:
low-value grants to human rights defenders to finance urgent protection actions and needs, including through mechanisms for the protection of human rights defenders at risk, as well as to mediators and other civil society actors involved in crisis and armed conflict related dialogue, conflict resolution, reconciliation and peacebuilding, where appropriate without the need for co-financing;
grants, where appropriate without the need for co-financing, to finance actions in the most difficult conditions where the publication of a call for proposals would be inappropriate, including situations where there is a serious lack of fundamental freedoms, including violation of human rights, threats to democratic institutions, escalation of crisis or armed conflict, where human security is most at risk or where human rights organisations and defenders, mediators and other civil society actors involved in crisis and armed conflict related dialogue, reconciliation and peacebuilding operate under the most difficult conditions; such grants shall not exceed EUR 1 000 000 and their duration shall not exceed 18 months, which may be extended by a further 12 months in the event of objective and unforeseen obstacles to their implementation;
grants to the Office of the UN High Commissioner for Human Rights as well as to Global Campus of Human Rights, the European Inter-University Centre for Human Rights and Democratisation, providing a European Master’s Degree in Human Rights and Democratisation, and its associated network of universities delivering human rights postgraduate diplomas, including scholarships to students and human rights defenders from third countries;
low value grants to civil society organisations using, to the extent possible, simplified forms of financing in accordance with Article 125 of the Financial Regulation.
Budget support, including through sector reform performance contracts, shall be based on country ownership, mutual accountability and the commitment of partner countries, taking into account their record and progress with regard to universal values, democracy, human rights and the rule of law, and aims to strengthen partnerships between the Union and partner countries. It shall include reinforced policy dialogue, capacity building and improved governance, complementing partners’ efforts to collect more and to spend better in order to support sustainable, inclusive growth and decent job creation, including for young people, poverty eradication, inequality reduction, and to build and consolidate democracies and peaceful societies. Budget support shall also contribute to gender equality.
Any decision to provide budget support shall be based on budget support policies agreed by the Union, a clear set of eligibility criteria and a careful assessment of the risks and benefits.
When providing budget support in accordance with Article 236 of the Financial Regulation, the Commission shall clearly define and monitor criteria for budget support conditionality, including progress in reforms and transparency, and shall support the development of parliamentary control, national audit capacities and increased transparency and public access to information.
Contributions to financial instruments under the Instrument may be made by Member States as well as any entity referred to in point (c) of Article 62(1) of the Financial Regulation.
Eligible persons and entities
Participation in procurement, grant and prize award procedures for actions financed under geographic programmes and under the Civil Society Organisations thematic programme and the Global Challenges thematic programme shall be open to international organisations and to all other legal entities, including civil society organisations, who are nationals of and, in the case of legal persons, who are also effectively established in, the following countries:
Member States, beneficiaries listed in the relevant Annex to the IPA III Regulation and contracting parties to the Agreement on the European Economic Area;
Neighbourhood partner countries and the Russian Federation when the relevant procedure takes place in the context of the programmes referred to in Annex I in which it participates;
developing countries and territories, as included in the list of ODA recipients published by the OECD Development Assistance Committee, which are not members of the G-20 group, and overseas countries and territories;
developing countries, as included in the list of ODA recipients, which are members of the G-20 group, and other countries and territories, when the relevant procedure takes place in the context of an action financed by the Union under the Instrument in which they participate;
countries for which reciprocal access to external funding is established by the Commission; that access may be granted, for a limited period of at least one year, whenever a country grants eligibility on equal terms to entities from the Union and from countries eligible under the Instrument; the Commission shall decide on the reciprocal access and on its duration after consultation of the recipient country or countries concerned;
member countries of the OECD, in the case of contracts implemented in a LDC or a highly indebted poor country, as included in the list of ODA recipients.
Union funding under the Instrument shall not support actions or measures which:
may result in the violation of human rights in partner countries;
are incompatible with the recipient country’s Nationally Determined Contribution (NDC) under the Paris Agreement, or that promote investments in fossil fuels, or that, according to the environmental screening and impact assessment, cause significant adverse effects on the environment or the climate, unless such actions or measures are strictly necessary to achieve the objectives of the Instrument and they are accompanied with appropriate measures to avoid, prevent or reduce and, if possible, off-set these effects, including support to phase out environmentally harmful fossil fuel subsidies.
Carry-overs, annual instalments, commitment appropriations, re-payments and revenue generated by financial instruments and budgetary guarantees
The Commission shall inform the European Parliament and the Council of commitment appropriations carried-over in accordance with Article 12(6) of the Financial Regulation.
The third subparagraph of Article 114(2) of the Financial Regulation shall not apply to the multiannual actions referred to in the first subparagraph of this paragraph. The Commission shall automatically decommit any portion of a budgetary commitment for an action which, by 31 December of the fifth year following that of the budgetary commitment, has not been used for the purpose of pre-financing or making interim payments, or for which no certified statement of expenditure or any payment request has been submitted.
Paragraph 2 of this Article shall also apply to annual instalments.
EFSD+, the External Action Guarantee, budgetary guarantees and financial assistance to third countries
Scope and financing
The EFSD+ shall in particular foster sustainable and inclusive economic, environmental and social development, transition into sustainable value-added economy and a stable investment environment. It shall also promote socio-economic and environmental resilience in partner countries with a particular focus on the eradication of poverty. The EFSD+ shall thus contribute to the reduction of socio-economic inequalities, sustainable and inclusive growth, climate change adaptation and mitigation, environmental protection and management, the creation of decent jobs on the basis of the core ILO labour standards, economic opportunities, skills and entrepreneurship, socio-economic sectors, including social enterprises and cooperatives, SMEs, sustainable connectivity, the support to vulnerable groups, the promotion of human rights, gender equality and the empowerment of women and young people, as well as addressing specific socio-economic root causes of irregular migration and root causes of forced displacement, in accordance with the priority areas outlined in Annex V and relevant indicative programming documents.
Special attention shall be given to countries identified as experiencing fragility or conflict, LDCs and heavily indebted poor countries, including by providing support for institutional capacity building, economic governance and technical assistance.
The Commission is empowered to adopt a delegated act in accordance with Article 44 to amend the maximum amount of the External Action Guarantee by up to 20 %.
A maximum amount of EUR 10 000 000 000 from the Union budget may be used to provision the External Action Guarantee. The Commission is empowered to adopt delegated acts in accordance with Article 44 to amend this maximum amount to ensure that the provisioning amount reflects the amount and the provisioning rates of the External Action Guarantee, taking into account the type of guaranteed operations.
The provisioning rate for the External Action Guarantee shall be 9 % for the Union’s macro-financial assistance and for budgetary guarantees covering sovereign risks associated with lending operations.
The provisioning rates shall be reviewed at least every three years from the date of application of this Regulation laid down in Article 51. The Commission is empowered to adopt delegated acts in accordance with Article 44 to amend the provisioning rates.
Structure of the EFSD+
The EFSD+ strategic board
The EFSD+ strategic board shall regularly organise a consultation of relevant stakeholders on the strategic orientation and implementation of the EFSD+.
Regional operational boards
The operational boards of regional investment platforms, taking into account the advice of the strategic board concerned and relevant risk assessments, shall support the Commission at the implementation level in defining regional and sectoral investment goals and regional, sectoral, and thematic investment windows and shall formulate opinions on blending operations and on the use of the External Action Guarantee covering EFSD+ proposed investment programmes.
Eligibility and selection of operations and counterparts for the External Action Guarantee under the EFSD+
The External Action Guarantee shall support financing and investment operations which comply with the conditions set out in points (a) to (e) of Article 209(2) of the Financial Regulation concerning in particular the need to achieve additionality, including by addressing market failures or sub-optimal investment situations, alignment of interest of the eligible counterparts, avoiding the distortion of competition, and, where appropriate, maximising private investment, and which:
undergo, in line with Article 34 of the Financial Regulation, ex ante evaluations which shall be proportionate to the objectives and amounts of the envisaged operations to determine the possible implications and risks of these operations with regard to human rights, environmental, labour and social standards including in the form of impact assessments for major programmes that are expected to have a significant impact on these areas, in line with the purpose of the EFSD+ laid down in Article 31(2) of this Regulation and taking due account of the principle of free and prior informed consent of affected communities in land related investments;
ensure complementarity within the different pillars of the External Investment Plan as well as with other initiatives;
are economically and financially viable, with due regard to the possible support from, and co-financing by, private and public partners to the project, while taking into account the specific operating environment and capacities of countries identified as experiencing fragility or conflict, LDCs, small island developing states, landlocked developing countries and heavily indebted poor countries which may benefit from more concessional terms;
are technically viable and are sustainable from an environmental and social point of view and maximise development impact;
do not distort markets in partner countries and regions and do not compete unfairly with local actors;
are implemented in accordance with the policy framework referred to in Article 7, applicable environmental, social and labour law obligations and standards and internationally agreed guidelines, principles and conventions on investments, in particular those adopted by the UN and the OECD, with full respect for international human rights law as well as in accordance with the objectives and general principles laid down in Articles 3 and 8.
The External Action Guarantee shall be used to cover the risks for the following instruments:
loans, including local currency loans;
capital market instruments;
any other form of funding or credit enhancement, insurance, and equity or quasi-equity participations.
The Commission shall ensure the effective, efficient and fair use of available resources among eligible counterparts, including small and medium-sized counterparts, while promoting cooperation between them and taking due account of their capacities, added value and experience.
The Commission shall ensure fair treatment for all eligible counterparts, in accordance with Article 27(7), and shall ensure that conflicts of interest are avoided throughout the implementation period of the EFSD+. In order to ensure complementarity, the Commission may request any relevant information from eligible counterparts about their non-EFSD+ operations.
The Commission shall select the eligible counterparts in accordance with Article 154 of the Financial Regulation, taking due account of:
the advice of the strategic and regional operational boards;
the objectives of the investment window;
the experience and risk management capacity of the eligible counterpart;
the amount of own and additional resources, as well as private sector co-financing, that the eligible counterpart is ready to mobilise for the investment window taking in due account the size of the investment;
the sectoral or geographic expertise of the eligible counterparts;
the benefits of promoting collaboration between eligible counterparts.
The choice of investment windows shall be duly justified by an analysis of the market failure or sub-optimal investment situations and an assessment of its alignment with the priorities of this Regulation and, where relevant, the IPA III Regulation. The Commission shall carry out that analysis in cooperation with potentially eligible counterparts and stakeholders.
Eligible counterparts may provide the instruments referred to in paragraph 3 under an investment window or individual project administered by an eligible counterpart. Those instruments may be provided for the benefit of partner countries, including countries experiencing fragility or conflict, or countries facing challenges in reconstruction and post-conflict recovery, for the benefit of those partner countries’ institutions, including their public national and private local banks and finance institutions, as well as for the benefit of private sector entities, including SMEs, of those partner countries. Those instruments shall not benefit companies controlled by the military or state security sector, except for duly justified cases.
Role of the EIB
The EIB shall have the exclusivity for operations with sovereign counterparts and non-commercial sub-sovereign counterparts under the exclusive dedicated investment window. Under the exclusive dedicated investment window, the own resources contribution shall be understood as the assumption of residual risk and the EU guarantee shall cover 65 % of the aggregate amount disbursed and guaranteed under EIB financing operations, less amounts reimbursed, plus all related amounts.
By way of derogation from the second subparagraph, if the EIB cannot carry out or decides not to carry out operations under the exclusive dedicated investment window, the implementation of these operations shall be open to other eligible counterparts, in accordance with conditions which shall be laid down in the relevant External Action Guarantee agreements, which shall take into account the conditions offered to the EIB for the same type of operations and the specific needs, circumstances and nature of the eligible counterpart implementing these operations.
The EIB shall be eligible for implementing operations with sub-sovereign counterparts not covered under the exclusive dedicated investment window referred to in paragraph 1 and operations with the private sector. The procedure referred to in Article 35 shall be used to entrust the EIB, if appropriate, with two additional dedicated investment windows covering:
a non-exclusive comprehensive risk cover for operations with commercial sub-sovereign counterparts; and
non-exclusive operations for the promotion of foreign direct investment, trade and the internationalisation of partner countries’ economies, providing a political risk cover for private sector operations.
In implementing the dedicated investment windows referred to in paragraphs 1 and 2, the EIB shall comply with this Regulation, including its overall objectives and those of the EFSD+ and, where relevant, of the IPA III Regulation, as well as with the relevant programming documents and the reporting obligations.
The operations under the dedicated investment window referred to in point (b) of paragraph 2 shall be coherent with those of the export credit agencies of Member States.
For EIB operations falling under the investment windows referred to in this Article, the eligibility assessment laid down in Article 35(9) shall be satisfied within the framework of the procedure provided for in Article 19 of Protocol No 5 on the Statute of the European Investment Bank, annexed to the TFEU. The EIB shall, in a timely manner, provide all information required by the Commission for that purpose. The EIB financing operations falling under those investment windows shall not be covered by the EU guarantee where the Commission delivers an unfavourable opinion under the procedure provided for in Article 19 of Protocol No 5 on the Statute of the European Investment Bank, annexed to the TFEU. All further modalities applicable to the EIB shall be established in the relevant External Action Guarantee agreements.
Contribution from other donors to the External Action Guarantee
By derogation from the second subparagraph of Article 218(2) of the Financial Regulation, the contracting parties to the Agreement on the European Economic Area may provide contributions either in the form of guarantees or cash.
Third countries other than the contracting parties to the Agreement on the European Economic Area and other third parties shall provide contributions in the form of cash and subject to the opinion of the EFSD+ strategic board and approval by the Commission.
Member States may request that their contributions be earmarked for the initiation of actions in specific regions, countries, sectors or existing investment windows. The Commission shall inform the European Parliament and the Council without delay of the contributions approved
The contributions made by Member States and the contracting parties to the Agreement on the European Economic Area in the form of a guarantee may only be called for payments of guarantee calls after the funding from the general budget of the Union, increased by any other cash contributions, has been used on payments of guarantee calls.
Any contribution may be used to cover guarantee calls regardless of earmarking.
A contribution agreement shall be concluded between the Commission, on behalf of the Union, and the contributor, and shall contain, in particular, provisions concerning the payment conditions.
Implementation of External Action Guarantee agreements
The European Parliament and the Council shall be notified of the signature of all External Action Guarantee agreements. Upon their request, those agreements shall be made available to the European Parliament and the Council, taking into account the protection of confidential and commercially sensitive information.
External Action Guarantee agreements shall contain, in particular:
detailed rules on the coverage, requirements, eligibility, eligible counterparts, and procedures;
detailed rules on the provision of the External Action Guarantee, including its arrangements on the coverage and its defined coverage of portfolios and of projects of specific types of instruments, as well as a risk analysis of projects and project portfolios, including at sectoral, regional, and national levels;
a reference to the objectives and purpose of the Instrument, an assessment of the needs and an indication of the expected results, taking into account the promotion of corporate social responsibility and responsible business conduct, including in particular by the respect of internationally agreed guidelines, principles and conventions on investment referred to in point (f) of Article 35(2);
the remuneration of the External Action Guarantee, which is to reflect the risk level, and the possibility for the remuneration to be partly subsidised in order to give more concessional terms in duly justified cases; and, in particular to countries experiencing fragility or conflict, LDCs and heavily indebted poor countries;
requirements for the use of the External Action Guarantee, including payment conditions, such as specific time frames, interest to be paid on due amounts, expenses and recovery costs and possibly necessary liquidity arrangements;
claims procedures, including, but not limited to, triggering events and waiting periods, and procedures regarding the recovery of claims;
monitoring, reporting, transparency and evaluation obligations;
clear and accessible complaints procedures for third parties that could be affected by the implementation of projects supported by the External Action Guarantee.
The External Action Guarantee may cover:
for debt instruments, the principal and all interests and amounts due to the selected eligible counterpart, but not received by it in accordance with the terms of the financing operations after an event of default has occurred;
for equity investments, the amounts invested and their associated financing costs;
for other financing and investment operations referred to in Article 35(2), the amounts used and their associated funding costs;
all relevant expenses and recovery costs related to an event of default, unless deducted from recovery proceeds.
For the purposes of the Commission’s accounting and its reporting of the risks covered by the External Action Guarantee, and in accordance with Article 209(4) of the Financial Regulation, eligible counterparts with which an External Action Guarantee agreement has been concluded shall provide the Commission and the Court of Auditors annually with the financial reports on financing and investment operations covered by this Regulation, audited by an independent external auditor, containing, inter alia, information on:
the risk assessment of financing and investment operations of the eligible counterparts, including information on Union liabilities measured in compliance with the accounting rules referred to in Article 80 of the Financial Regulation and International Public Sector Accounting Standards;
the outstanding financial obligation for the Union arising from the EFSD+ operations provided to the eligible counterparts and their financing and investment operations, broken down by individual operation.
Grievance and redress mechanism and protection of Union’s financial interests
Capital participation in development finance institutions
The envelope for geographic programmes, referred to in point (a) of Article 6(2), may be used to contribute to the capital endowment of European and other development finance institutions.
Monitoring, reporting and evaluation
Monitoring and reporting
Progress regarding expected results shall be monitored in a transparent and timely manner, on the basis of relevant, measurable, qualitative and quantitative data including, but not limited to those set out in Annex VI. Whenever possible, indicators shall be disagregated by sex, age and other relevant factors.
The performance reporting system shall ensure that data for monitoring programme implementation and results of the Instrument are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds.
The annual report shall contain:
information relating to the previous year on the measures financed;
the results of monitoring and evaluation exercises;
the involvement and level of cooperation of the relevant partners, broken down by type of entity as referred to in Article 62 of the Financial Regulation for both direct and indirect management;
the budgetary commitments, including contracted amounts, and payment appropriations, broken down by country, region and cooperation sector;
qualitative and quantitative information including on measures taken pursuant to Article 9, on the use of the emerging challenges and priorities cushion referred to in Article 17 and on the use of funds dedicated to the incentive-based approach responding to performance in key areas referred to in Article 20.
The annual report shall assess the results of the Union funding using, as far as possible, specific and measurable indicators to show progress towards the targets and objectives of the Instrument as well as the progress made towards mainstreaming issues referred to in Article 8(8). It shall also present a breakdown on the forms of Union funding as set out in Article 27. In the case of development cooperation, the report shall also assess, where possible and relevant, the adherence to development effectiveness principles, including for innovative financial instruments.
The Commission shall submit as part of the annual report detailed reporting on the financing and investment operations covered by the External Action Guarantee, and the functioning of the EFSD+, its management and its effective contribution to its objectives. It shall include the following elements:
an assessment of the results contributing to the purpose and objectives of the Instrument and, where relevant, other funding instruments as laid down in Article 31(7);
an assessment, on the basis of indicators in accordance with Articles 31(2) and 35(2), of the additionality and added value, the mobilisation of private sector resources including from SMEs, the type of private sector entities supported, the estimated and actual outputs and the outcomes and impact of the financing and investment operations covered by the External Action Guarantee under the EFSD+ on an aggregated basis, including the impact on decent job creation, and the eradication of poverty and on the way in which the specific socio-economic root causes of irregular migration and root causes of forced displacement are addressed; the assessment shall include an analysis of the risk measures and their impact on the financial and economic stability of the partners and a gender analysis of the operations covered based on evidence and data broken down by gender, country and sector where possible;
an assessment of the compliance of the operations supported by the External Action Guarantee under the EFSD+ with the internationally agreed development effectiveness principles;
an assessment of the leverage effect achieved by the operations covered;
an assessment of the synergies and complementarity between operations covered by the External Action Guarantee under the EFSD+, including those referred to in Article 36, and other pillars of the External Investment Plan based on relevant existing reports, with particular regard to progress made on good governance, including in the fight against corruption and illicit financial flows, respect for human rights, the rule of law and gender-responsive policies, as well as the boosting of entrepreneurship, the local business environment and local financial markets;
an assessment of the remuneration of the guarantees and of the implementation of Article 155(2) and (3) of the Financial Regulation;
The Commission shall make available information on development cooperation in accordance with recognised international standards such as those from the ILO and the OECD and by using the framework for a common standard developed by the International Aid Transparency Initiative.
The Commission shall communicate the findings and conclusions of the evaluations accompanied by its observations and follow-up, to the European Parliament, to the Council and to the Member States. Evaluations may be discussed at the request of Member States pursuant to Article 45(7). The results shall feed into the preparation of programmes and actions and resource allocation. Those evaluations and follow-up shall be made publicly available.
The Commission shall, to an appropriate extent, associate all relevant stakeholders, including beneficiaries, civil society actors and local authorities in the evaluation process of the Union’s funding provided under the Instrument, and may, where appropriate, seek to undertake joint evaluations with the Member States and other partners with close involvement of the partner countries.
The mid-term and final evaluations shall also contain consolidated information from annual reports on all funding governed by this Regulation, including external assigned revenues and contributions to trust funds, offering a breakdown of spending by beneficiary country, forms of Union funding, and involvement of Member States and relevant partners, commitments and payments, as well as a breakdown per geographic programmes, thematic programmes and rapid response actions, including the use of funds mobilised from the emerging challenges and priorities cushion, as referred to in Article 6.
The mid-term and final evaluations shall be undertaken for the specific purpose of improving Union funding. They shall inform decisions on the renewal, modification or suspension of the types of actions implemented under the Instrument.
Extension of geographic scope
Exercise of the delegation
Information, communication and visibility
Agreements concluded with the recipients of Union funding shall contain obligations in that respect.
Derogation from visibility requirements
Where security issues or political sensitivities may make it preferable or necessary to limit communication and visibility activities in certain countries or areas or during certain periods, the target audience and the visibility tools, products and channels to be used in promoting a given action shall be determined on a case-by-case basis, in consultation and agreement with the Union. Where rapid intervention is required in response to a sudden crisis, it is not necessary to produce a full communication and visibility plan immediately. In such situations, however, the Union’s support shall nevertheless be appropriately indicated from the start.
European External Action Service clause
This Regulation shall be applied in accordance with Decision 2010/427/EU, in particular Article 9 thereof.
Amendments to Decision No 466/2014/EU
Decision No 466/2014/EU is amended as follows:
in Article 1, paragraph 5 is replaced by the following:
in Article 20, the second paragraph is replaced by the following:
‘By 31 December 2022, the Commission shall present to the European Parliament and to the Council a report on the application of this Decision.’;
in Annex I, the last three paragraphs of point D are replaced by the following:
‘Within the overall fixed ceiling, the EIB governing bodies may decide, after consulting the Commission, to reallocate amounts within and between regions.’.
Repeal and transitional provisions
Entry into force and application
This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
LIST OF COUNTRIES AND TERRITORIES IN THE NEIGHBOURHOOD AREA
The Republic of Moldova
Occupied Palestinian Territory
Union support under this area may also be used for the purpose of enabling the Russian Federation to participate in cross-border cooperation programmes and in other relevant multi-country indicative programmes, including as referred to in Article 13(6) and Article 21.
AREAS OF COOPERATION FOR THE GEOGRAPHIC PROGRAMMES
For all geographic regions
1. Good governance, democracy, the rule of law and human rights, including gender equality
Strengthening and promoting democracy and inclusive democratic processes, the rule of law, the fight against corruption, governance and oversight, including transparent, inclusive and credible electoral processes as well as transparent, accountable, effective and inclusive institutions at all levels, including legislative bodies, an independent judiciary, strengthening a meaningful political participation and representation;
Strengthening the promotion, protection and fulfilment of human rights and fundamental freedoms in compliance with international human rights law, including the Universal Declaration of Human Rights; supporting and protecting human rights defenders; supporting and monitoring complaint and redress mechanisms with regard to human rights violations and abuses at national and local level; contributing to the implementation of global and regional instruments and frameworks, increasing the capacities of civil society in their implementation and monitoring;
Fighting against discrimination in all its forms, and promoting the principle of equality and non-discrimination, in particular gender equality, rights and empowerment of women and girls, the rights of the child, persons with disabilities, persons belonging to minorities, lesbian, gay, bisexual, trans and intersex (LGBTI) persons, and indigenous peoples as set out in the United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP);
Supporting, strengthening and empowering a thriving civil society and its independent, active and multiple roles in political transitions, reform processes and democratic transformations, and promoting an open and enabling space for civil society and citizens’ engagement in political life and in scrutiny of decision-making as well as countering the shrinking of democratic space; supporting and promoting the participation of all in political processes and public life;
Improving the pluralism, independence and professionalism of a free and independent media, as well as enhancing media literacy and tackling disinformation; strengthening digital rights, including rights to access information; strengthening the right to privacy and data protection;
Building resilience of states, societies, communities and individuals to political, economic, environmental, food, demographic and societal pressures and shocks, natural and man-made disasters and health crises including pandemics;
Strengthening the development of democratic and inclusive public institutions at international, national and sub-national levels, including local authorities; strengthening the capacity for gender-responsive budgeting and planning; as well as an independent, effective, efficient and accountable judicial system, the promotion of the rule of law, international justice, accountability and affordable access to justice for all;
Supporting public administration reform processes at national and sub-national levels, including through the use of citizen-centred eGovernment systems and other digital solutions for building robust, accountable and transparent public administration and service delivery systems, strengthening legal frameworks and institutional set up, national statistical systems and capacities, including with regard to disaggregating data by income, sex, age and other factors, sound public finance management including external audit, and contributing to the fight against corruption, tax avoidance, tax evasion and aggressive tax planning;
Supporting national and local governments and administrations to create the required infrastructure to enable all civil registrations (from birth through to death) to be accurately registered, and officially recognised, and duplicated documents to be published when necessary in order to ensure that all citizens officially exist and are able to exercise their fundamental rights;
Promoting inclusive, balanced and integrated territorial, rural and urban policies and development through strengthening public institutions and bodies at the national and sub-national levels, supporting capacity building of local authorities and mobilising their expertise to promote a territorial approach to local development including efficient decentralisation, fiscal decentralisation, and state restructuring processes;
Increasing transparency and accountability of public institutions at national and sub-national levels and publicly-owned enterprises and improving access for all to information on public affairs, strengthening public procurement including encouraging the development of environmental, social and economic sustainability criteria and targets and public finance management at regional, national and local level, supporting the development and deployment of eGovernance systems and strengthening service delivery;
Supporting the sustainable, accountable, conflict sensitive and transparent management of natural resource sectors and related revenues, and reforms to ensure fair, just, efficient and sustainable tax policies.
2. Eradicating poverty, fighting against inequalities and discrimination, and promoting human development
Eradicating poverty in all its dimensions, including through public services on health, nutrition, education and social protection, tackling discrimination and inequalities and leaving no one behind;
Supporting sustainable agriculture, forestry and fisheries to increase food security, create economic opportunities and jobs;
Enhancing efforts for the adoption of policies and appropriate investment to promote, protect and fulfil the rights of women and girls, young people and children, and persons with disabilities, to facilitate their engagement and meaningful participation in social, civic and economic life, and to ensure their full contribution to inclusive growth and sustainable development;
Promoting the respect, protection and fulfilment of the rights of women and girls and their empowerment, including economic, labour and social rights, land rights, as well as rights referred to in Article 8(4), eliminating sexual and gender-based violence in all forms, including harmful practices such as early, forced and child marriage and female genital mutilation;
Addressing the linkages of global demographic growth and demographic shifts to sustainable development in all relevant dimensions including gender equality, health, social protection, social cohesion, education and employment;
Paying special attention to those who are disadvantaged, vulnerable and marginalised, including children and youth, older persons, persons with disabilities, LGBTI persons, persons belonging to minorities and indigenous peoples, refugees, internally displaced people, persons affected by armed conflict and stateless persons;
Promoting an integrated approach to supporting communities, particularly the most marginalised, vulnerable, poorest and hardest to reach persons, including by improving universal access to basic needs and services, including in the health, education, nutrition and social protection fields;
Supporting the provision of a safe, nurturing environment for children as an important element for fostering a healthy young population able to reach its full potential. This includes promoting the transition from institutional to community-based care for children. It also includes giving children, particularly the most marginalised, the best start in life by investing in early childhood development and ensuring that children experiencing poverty or inequality have access to basic services such as health, nutrition, education and social protection;
Supporting universal access to sufficient, affordable, safe and nutritious food and healthy diets, particularly for those in the most vulnerable situations, inter alia children under the age of five, adolescents, both girls and boys, and women, especially during pregnancy and breastfeeding, as well as strengthening food and nutrition resilience and the continuum of care, particularly in countries facing protracted or recurrent crises; prevent stunting, wasting and other forms of malnutrition; fostering multi-sectoral, nutrition-sensitive approaches to agriculture;
Supporting universal access to safe and sufficient drinking water sanitation, and hygiene, and sustainable and integrated water management, in particular at local level;
Achieving universal health coverage, with equitable access for all individuals and communities to quality and affordable health services, including sexual and reproductive health care services in the context of the implementation of the Beijing Platform for Action and the Programme of Action of the ICPD and the outcomes of their review conferences, through supporting the building of inclusive strong, quality and resilient health systems that are accessible to all, and enhancing capacity for early warning, risk reduction, management and recovery; complementing action through the Union’s framework programme for research and innovation to tackle global health threats, develop safe, efficient and affordable vaccines, medicines and treatments against poverty-related and neglected diseases, and to improve responses to health challenges including communicable diseases, antimicrobial resistance and emerging diseases and epidemics;
Supporting universal and equitable social protection and strengthening social safety nets, support networks and systems to guarantee basic income, prevent lapses into extreme poverty and build resilience;
Promoting inclusive sustainable urban development to address urban inequality, focusing on those most in need;
Supporting local authorities, including through decentralised cooperation, capacity development and resource mobilisation, to improve in urban and rural areas the localisation of the SDGs through the delivery and responsiveness of basic services and equitable access to food and nutrition security, accessible, decent and affordable housing and the quality of life, in particular for those living in informal settlements and slums, strengthening and promoting accessible participation and complaint mechanisms, especially for disadvantaged and excluded persons and groups;
Promoting the achievement of internationally agreed goals in education, with particular focus on strengthening free education systems, through inclusive and equitable quality formal, informal and non-formal education and promoting life-long learning opportunities for all, and at all levels, particularly during early childhood and primary years, technical and vocational training, also in emergency and crisis situations, and with special attention to women and girls; and including through training and professional development for teachers, and the use of digital technologies to improve education teaching and learning;
Supporting actions of capacity building, learning mobility between the Union and partner countries or between partner countries themselves, as well as of cooperation and policy dialogue with institutions, organisations, local implementing bodies and authorities, from those countries;
Promoting cooperation in the areas of science, technology and research in particular addressing poverty related and societal changes, open data, big data, artificial intelligence and innovation, while preventing the phenomenon of brain drain;
Stepping up coordination amongst all relevant actors at all levels to help the transition from a natural or man-made emergency situation to the development phase; ensuring joined-up planning and programming of cooperation interventions, that are coherent with humanitarian aid, and, where relevant, peacebuilding actions, on the basis of joint analysis;
Supporting freedom of thought, conscience and religion or belief, including by means of measures to eliminate all forms of hatred, intolerance and discrimination based on religion or belief and by fostering tolerance and respect for religious and cultural diversity within and among societies;
Promoting intercultural dialogue and cultural diversity in all its forms, and preserve and promote cultural heritage, and unlocking the potential of creative industries for sustainable, social and economic development;
Supporting actions, and promoting cooperation, in the area of sport to contribute to the empowerment of women, young people, individuals and communities as well as to the health, education and social inclusion objectives of the 2030 Agenda;
Promoting the dignity and resilience of long-term forcibly displaced persons and their inclusion in the economic and social life of host countries and host communities, including at local level.
3. Migration, forced displacement and mobility
Strengthening bilateral, regional and international partnerships on migration, forced displacement and mobility based on an integrated and balanced approach, covering all aspects of migration including assistance in implementing Union bilateral or regional agreements, dialogues and arrangements, including those on return and readmission, legal pathways and mobility partnerships, in full respect of international law and human rights obligations;
Supporting sustainable reintegration of returning migrants and their families, as well as safe and dignified returns amongst partner countries in full respect of humanitarian and human rights obligations under international and Union law;
Addressing and mitigating root causes of irregular migration and forced displacement;
Tackling irregular migration and forced displacement; reducing the vulnerabilities in the context of migration including those caused by human trafficking and smuggling, as well as including supporting measures to protect victims of exploitation and abuse; and stepping up cooperation on integrated border management in line with international and Union law, human rights law, humanitarian law and data protection standards;
Strengthening scientific, technical, human and institutional capacity for the management of migration, including human rights trainings, support partner countries’ reception, processing, asylum and return procedures; strengthening cross-border cooperation on exchange of information in compliance with data protection standards and obligations related to the right to privacy under international human rights law; and supporting the collection and use of accurate and disaggregated data as a basis for evidence-based policies in order to facilitate orderly, safe, regular and responsible migration and mobility;
Supporting effective and human rights based migration policies, at all levels, including protection programmes;
Promoting conditions for facilitating, as appropriate, legal migration and well-managed mobility, while respecting competences of the Member States, and people-to-people contacts, including in education, research and innovation, cultural exchange and intercultural dialogue, including by providing accurate and timely information, maximising the development impact of regular migration;
Improving a common understanding of the migration–development nexus, recognising that orderly, safe, regular and responsible migration and mobility, peace, good governance, stability, inclusive growth and sustainable development are strongly interlinked, and pursuing synergies within these various dimensions;
Ensuring the protection, the respect and fulfilment of the human rights of all migrants, refugees, forcibly displaced persons and internally displaced persons, including those displaced due to climate change, paying special attention to vulnerable groups;
Supporting development oriented solutions for forcibly displaced persons, internally displaced persons and their host communities, including through socio-economic inclusion with access to labour market, decent jobs, education and services, to promote the dignity, resilience and self-reliance of displaced persons;
Supporting diaspora engagement in countries of origin to contribute to sustainable development, including through the involvement of local authorities and civil society organisations, taking into account their potential for investments, supporting their solidarity and entrepreneurial initiatives;
Promoting faster, cheaper and safer remittance transfers in both source and recipient countries, thus harnessing their potential for development.
Cooperation in this area will be managed in coherence with migration-relevant Union regulations, in full respect of the principle of policy coherence for development.
4. Environment and climate change
Strengthening scientific, technical, human and institutional capacity for climate and environmental management, mainstreaming and monitoring; strengthening regional, national and local climate and environmental governance, and facilitating access to public and private sources for disaster risk reduction, ecosystems and biodiversity conservation and climate finance, as well as insurance;
Supporting adaptation to climate change, with special emphasis on particularly vulnerable States and populations; contributing to partners’ efforts to pursue their commitments on climate change, ecosystems and biodiversity conservation, including at local level, in line with the Paris Agreement and the Sendai Framework for Disaster Risk Reduction. Those efforts include the implementation of the NDCs and mitigation and adaptation plans of action including synergies between adaptation and mitigation, through global initiatives such as the NDC Partnership, as well as their commitments under other multilateral environmental agreements, such as the UN Convention on Biological Diversity and the UN Convention to Combat Desertification;
Developing and/or strengthening sustainable green and blue growth and circular economy in all economic sectors;
Promoting access to sustainable energy in developing countries; strengthening sustainable renewable energy cooperation, in full compliance with highest international standards including for the assessment of both national and transboundary safety and environmental impacts. Promoting and increasing cooperation on energy efficiency and the production and use of renewable energy sources; promoting access to reliable, secure, affordable, clean and sustainable energy services; supporting, in particular small-scale, mini-grid and off-grid solutions of high environmental and developmental value, and local and decentralized solutions that ensure energy access for people living in poverty and in remote areas;
Building capacity to mainstream environmental sustainability and climate change objectives, and pursuing green growth into national and local development strategies including supporting sustainability criteria in public procurement;
Promoting the phasing-out of environmentally harmful fossil fuel subsidies, stable and transparent energy markets and the deployment of smart grids and the use of digital technologies for sustainable energy management;
Promoting corporate social responsibility, due diligence in supply chains, and the consistent application of the ‘precautionary approach’ and the ‘polluter pays’ principles;
Promoting environmentally sustainable agriculture practices, including agroecology and biodiversity as well as to enhance mitigation and adaptation to climate change and promote environmental and social resilience and healthy ecosystems;
Improving local, national, regional and continental multi-modal transport networks and services to strengthen further opportunities for sustainable climate-resilient economic development and job creation, in view of low-emission, climate resilient development. Strengthening transport facilitation and liberalisation, improve sustainability, road safety and resilience of transport domains;
Strengthening the involvement of local authorities and communities and indigenous peoples in climate change responses, the fight against biodiversity loss and wildlife crime, conservation of ecosystems and the conflict sensitive governance of natural resources, including through the improvement of land tenure and water resources management. Promoting sustainable urban development and resilience in urban areas; strengthening and promoting participation and access to complaint and redress mechanisms at national and local level, especially for indigenous peoples as set out in the UNDRIP;
Promoting education for sustainable development to empower people to transform society and build a sustainable future;
Promoting the conservation, sustainable and conflict sensitive management and use, and restoration of natural resources, healthy terrestrial and non-terrestrial ecosystems and halting biodiversity loss, protecting wildlife, including combating poaching and illegal wildlife trafficking; strengthening consultation and promoting regional transboundary cooperation and ensuring free, prior informed consent and effective participation of indigenous peoples as set out in the UNDRIP;
Promoting integrated, sustainable, participatory and conflict sensitive management of water resources and transboundary water cooperation in accordance with international law, involving where relevant local authorities;
Promoting conservation and enhancement of carbon stocks through sustainable management of land use, land-use change, and forestry and combating environmental degradation, desertification and land and forest degradation and drought, involving where relevant local authorities;
Promoting forestation and protection of natural forests; reducing deforestation and promoting forest law enforcement, governance and trade, and combating illegal logging, trade of illegal timber and wood products.
Supporting better governance and capacity building for the sustainable management of natural resources, including through subnational governments; supporting the negotiation and the implementation of voluntary partnership agreements;
Supporting ocean governance, including the protection, restoration and preservation of coastal and marine areas in all its forms, including ecosystems, the fight against marine litter, the fight against illegal, unreported and unregulated fishing and the protection of maritime biodiversity in accordance with the UN Convention on the Law of the Sea;
Strengthening regional disaster risk reduction, preparedness and resilience, including through investment, and through promoting a community-based and people-centred approach, in synergy with climate change adaptation policies and actions;
Promoting resource efficiency and sustainable consumption and production, in particular throughout the entire supply chain, towards the transition to a circular economy, including by curbing the use of natural resources financing conflicts, and by supporting compliance by stakeholders with relevant initiatives; tackling pollution, reducing air pollutants, in particular black carbon and promoting a sound management of chemicals and waste;
Supporting efforts to improve sustainable economic diversification, competitiveness, local value-added in supply chains and sustainable trade, private sector development with a particular focus on low-emission climate-resilient green growth, SMEs and cooperatives, taking advantage of the benefits of existing trade agreements with the Union for sustainable development;
Promoting the achievement of commitments regarding biodiversity conservation in international agreements;
Increasing the integration and mainstreaming of climate change and environmental objectives through support for methodological and research work;
Addressing global and trans-regional effects of climate change having a potentially destabilising impact on development, peace and security.
5. Inclusive and sustainable economic growth and decent employment
Supporting entrepreneurship, including through microfinance, decent employment and employability through the development of skills and competences, education and vocational training, the improvement of the full application of international labour standards and including social dialogue and the fight against child labour, working conditions in a healthy environment, gender equality, living wages and the creation of opportunities particularly for the youth as well as women;
Supporting national and local development paths that maximise positive social outcomes and impacts, reduce the risk of exclusion and marginalisation of certain groups, promoting fair, efficient and sustainable taxation and redistributive public policies, and the setting-up and strengthening of sustainable social protection systems and social insurance schemes; supporting efforts at national and international levels to combat tax evasion and tax havens;
Improving the business environment and investment climate at local and national levels, creating an enabling regulatory environment for economic development and supporting companies, in particular SMEs, including start-ups, as well as cooperatives, social enterprises and women entrepreneurs in expanding their business and creating jobs, supporting the development of a solidarity economy and enhancing responsible business conduct and private sector accountability;
Promoting corporate accountability and redress mechanisms for violations of human rights related to private sector activities; supporting efforts at local, regional and global level to ensure corporate compliance with human rights standards and regulatory developments, including on mandatory due diligence, and with international commitments on business and human rights;
Strengthening social and environmental sustainability, inclusiveness, corporate social responsibility and responsible business conduct, and respecting and promoting human rights standards and principles throughout the entire value chains, supporting shared value addition and fair trading conditions;
Increasing relevance, effectiveness and sustainability of public spending, including through promoting sustainable public procurement; and promoting more strategic use of public finance, including through blending instruments to crowd in additional public and private investment;
Boosting the potential of cities as hubs for sustainable and inclusive growth and innovation;
Promoting internal economic, social and territorial cohesion, forging stronger links between urban and rural areas and facilitating the development of both creative industries and a sustainable tourism sector as a leverage for sustainable development;
Boosting and diversifying sustainable and inclusive agricultural and food value chains, promoting food security and economic diversification, value addition, regional integration, competitiveness and fair trade, and strengthening sustainable, low-emission and climate-change-resilient innovations;
Focusing on ecologically efficient agricultural intensification for smallholder farmers, and in particular women, by providing support for effective and sustainable national policies, strategies and legal frameworks, and for equitable and sustainable access to, and management of resources, including land and land right, water, other agricultural inputs, and (micro) credit;
Supporting greater participation of civil society, including at regional level, in particular farmer organisations in policy making and research programmes and increasing their involvement in the implementation and evaluation of government programmes;
Supporting and promoting sustainable fisheries management and sustainable aquaculture;
Fostering universal access to affordable, reliable and sustainable energy, promoting a low-emission, climate-resilient, resource-efficient and circular economy in line with the objectives of the Paris Agreement and the 2030 Agenda;
Promoting smart, sustainable, inclusive, safe mobility, as well as improving transport connectivity with the Union;
Promoting accessible, affordable, inclusive, reliable and secure digital connectivity and strengthening the digital economy; promoting digital literacy and skills; fostering digital entrepreneurship and job creation; promoting the use of digital technologies as an enabler for sustainable development; addressing cybersecurity, data privacy and other regulatory issues linked to digitalisation;
Developing and strengthening markets and sectors in a way that would bolster inclusive, sustainable and climate-resilient growth and fair trade, as well as reduce the socio-economic marginalisation of vulnerable groups;
Supporting the regional integration agenda and optimal trade policies in support of inclusive and sustainable development, strengthening countries’ capacity to trade, and supporting the consolidation and implementation of trade agreements between the Union and its partners, including holistic and asymmetrical agreements with developing country partners, in line with human rights standards; promoting and strengthening multilateralism, sustainable economic cooperation, as well as measures aimed at promoting and strengthening the rules of the World Trade Organization;
Promoting cooperation in the areas of science, technology and research, digitalisation, open data, big data and artificial intelligence and innovation, including the development of science diplomacy;
Promoting intercultural dialogue and cultural diversity in all its forms, developing local crafts as well as contemporary arts and cultural expressions, preserving and promoting cultural heritage, unlocking the potential of creative industries for sustainable, social and economic development, and guaranteeing as well as strengthening rights of indigenous peoples as set out in the UNDRIP, and local communities and their effective participation and empowerment;
Empowering women to take up a greater economic role and in decision-making, including at local level;
Improving access to decent work for all in a healthy environment, and creating more inclusive and well-functioning labour markets and employment policies directed towards decent work, respect for human rights and labour rights, including living wages for all, especially women and youth;
Promoting fair, sustainable, undistorted, conflict-sensitive and non-corrupted access to extractive sectors, while respecting human rights; increasing transparency, due diligence and investor responsibility while promoting private sector accountability; applying measures to accompany Regulation (EU) 2017/821 of the European Parliament and of the Council ( 3 ).
6. Peace, stability and conflict prevention
Contributing to peace, the prevention of conflict and therefore to stability through building resilience of states, sub-national governments, societies, communities and individuals to political, economic, environmental, food, demographic, security and societal pressures and shocks, including by countering hybrid threats and supporting resilience assessments designed to identify the local capacities within societies that allow them to withstand, adapt to and quickly recover from these pressures and shocks; addressing political and economic exclusion and other long-term structural and root causes of conflict, insecurity and instability;
Promoting a culture of non-violence, including by supporting formal, informal and non-formal peace education;
Supporting conflict prevention, early warning and peacebuilding through mediation and dialogue, crisis management, and stabilisation and post-conflict reconstruction, including an enhanced role for women at all of these stages; promoting, facilitating and building capacity in confidence building, mediation, dialogue and reconciliation, good neighbourly relations and other measures contributing to the prevention and settlement of conflicts, with particular regard to emerging inter-community tensions as well as conciliation measures between segments of societies and protracted conflicts and crises;
Supporting rehabilitation and reintegration of victims of armed conflicts, supporting disarmament, demobilisation and reintegration of former combatants and their families into society and addressing the social effects of restructuring the armed forces, including the specific needs of women;
Enhancing women’s and youth systematic participation, including in decision-making and implementation, in peace negotiations, reconciliation processes, conflict prevention and peacebuilding and their inclusion, meaningful civil and political participation and social recognition in line with UNSCR 1325 (2000), in particular in fragile, conflict and post-conflict situations and countries, also in order to address the disproportionate impact of violent conflict on them and better consider their special needs during conflict;
Preventing all forms of sexual and gender-based violence, including the use of sexual violence as a weapon of war;
Supporting gender- and conflict-sensitive security sector reform that guarantees the respect, promotion and fulfilment of the Union fundamental values and good governance principles and gradually provides individuals, civil society and the state with more effective, democratic and accountable security capacities and instruments for sustainable development and peace;
Supporting capacity-building of military actors in support of development and security for development, in accordance with Article 9;
Supporting regional and international disarmament initiatives and arms export control regimes and mechanisms;
Supporting local, national, regional and international initiatives contributing to security, stability and peace, including disarmament initiatives and arms export control regimes and mechanisms, demining and mine-action as well as linking those different initiatives, and addressing the socio-economic impact on the civilian population, including the needs of women, of antipersonnel landmines, unexploded ordnance or explosive remnants of war;
Preventing and countering radicalisation leading to violent extremism and terrorism, as well as protecting individuals from such threats, including by means of context-specific, conflict- and gender-sensitive actions;
Supporting ad hoc, local, national, regional and international tribunals, truth and reconciliation commissions and mechanisms;
Fighting against any form of violence, corruption and organised crime and money laundering;
Promoting transboundary cooperation regarding the sustainable, conflict-sensitive and participatory management of shared natural resources in accordance with international and Union law and respecting and promoting human rights of affected individuals and groups including indigenous peoples as set out in the UNDRIP and local communities;
Cooperating with third countries in the peaceful use of nuclear energy in the areas of health, agriculture and food safety, ensuring full compliance with the highest international standards; as well as supporting social actions addressing the consequences on the population in countries exposed to any radiological accident and aiming at improving their living conditions; promoting knowledge-management, training and education in nuclear-related fields. Where applicable, these activities shall be coherent with those of the European Instrument for International Nuclear Safety Cooperation;
Enhancing maritime security and safety to allow for safe, secure, clean and sustainably managed oceans;
Supporting capacity-building in cyber security, resilient digital networks, data protection and privacy, in line with human rights standards and principles.
Enhancing country ownership, partnership and constructive dialogue, including with civil society, in order to contribute to greater effectiveness of development cooperation in all its dimensions (giving special consideration for the specific challenges of LDCs and countries affected by conflict and fragility, as well as specific transitional challenges of middle income countries and more advanced developing countries), implementing a rights-based approach to development cooperation, encompassing all human rights and ensuring that no one is left behind;
Deepening political, economic, social, environmental and cultural dialogue between the Union and third countries and regional and international organisations, and supporting implementation of bilateral and international commitments;
Fostering greater inclusiveness and collaboration of all actors in the implementation of development cooperation and external action policies, seeking to share lessons learned, maximise capacities, added value, excellence and experience, thus reinforcing common goals, values and interests and the ambition of working better together;
Encouraging good neighbourly relations, regional integration, enhanced connectivity, cooperation and inclusive and constructive dialogue, including, inter alia, enhanced regional cooperation in the framework of the EU Strategy for connecting Europe and Asia, the EU Strategy on Central Asia, the EU-Africa partnership, the Black Sea regional cooperation, the Arctic cooperation and the Northern Dimension;
Supporting and increasing cooperation by partner countries and regions with neighbouring Union outermost regions and with overseas countries and territories;
Promoting an enabling environment for civil society organisations and foundations, enhancing their meaningful, continuous and structured participation in domestic and international policies and their capacity to perform their roles as independent development and governance actors; and strengthening multi-stakeholder approaches and new ways of partnering with civil society actors, including women’s rights organisations; supporting democracy and expanding civic space; promoting a substantive and structured dialogue with the Union and the effective use and implementation of country roadmaps for Union engagement with civil society;
Engaging with local authorities and supporting their role as policy and decision-makers to boost local development, including the business environment, and improved governance, as well as development and governance actors; promoting an enabling regulatory and institutional framework allowing local authorities to exercise their mandate, enhancing their meaningful, continuous and structured participation in domestic and international policies; and strengthening multi-stakeholders and multilevel governance approaches and new ways of partnering with local authorities;
Engaging more effectively with the population, including human rights defenders, in third countries, including by making full use of economic, cultural and public diplomacy;
Engaging industrialised and more advanced developing countries on the implementation of the 2030 Agenda, global public goods and challenges, including in the area of South-South and triangular cooperation;
Encouraging regional integration and cooperation, in a result-oriented way through support for regional integration and dialogue;
Building partnerships with the private sector for creating jobs and enhancing livelihoods in partner countries.
AREAS OF INTERVENTION FOR THEMATIC PROGRAMMES
1. AREAS OF INTERVENTION FOR HUMAN RIGHTS AND DEMOCRACY
The Union shall contribute to advancing the fundamental values of democracy, the rule of law, the universality, indivisibility and interdependence of human rights, respect for human dignity, the principles of non-discrimination, equality and solidarity, and respect for the principles of the Charter of the UN and international human rights law, mainly in the following areas:
Upholding human rights and fundamental freedoms for all, contributing to forging societies in which participation, tolerance, non-discrimination, human dignity, equality, social justice, international justice and accountability prevail. This includes two major axes:
Monitoring, promoting and strengthening respect for and observance of all human rights, be they civil and political, as well as economic, social and cultural rights.
This shall include, inter alia, actions: to abolish the death penalty, promote the fight against enforced disappearances, to prevent and eliminate torture, ill-treatment and other cruel, inhumane and degrading punishment or treatment, to promote freedom of expression, assembly and association, freedom of thought, conscience and religion or belief; to promote and protect gender equality and women and girls’ empowerment in all spheres of life, including in education, health and those areas and rights referred to in Article 8(4), work-life balance, political decision-making and supporting measures to eliminate all forms of violence against women and girls; to promote and protect, the rights of the child, women, youth, LGBTI persons, including measures to decriminalise homosexuality, persons belonging to national or ethnic, religious and linguistic minorities, indigenous peoples as set out in the UNDRIP, and persons with disabilities, and to fight racism, xenophobia and discrimination based on any grounds. Within the specified scope, Union assistance shall particularly address the most context-sensitive human rights issues, respond to the shrinking space for civil society active in the promotion and protection of human rights, as well as counter other emerging and complex challenges;
Protecting and empowering human rights defenders worldwide, in particular in countries where disrespect for human rights and fundamental freedoms is particularly pronounced and systematic, including where restrictive measures have been introduced to limit their actions and their action is critical to reinforce the institutional and legal human rights framework. Emergency, medium-term and long-term assistance as well as sustainable measures shall be given to human rights defenders and civil society, in particular local human rights defenders and civil society, including through a dedicated mechanism for the protection of human rights defenders, to carry out their work unhindered.
Developing, supporting, consolidating and protecting democracy, addressing all aspects of democratic governance, including reinforcing political pluralism, representation, and accountability, reinforcing democracy at all levels, enhancing citizen and civil society participation, supporting credible, inclusive and transparent electoral processes as well as supporting citizen capacity in monitoring democratic and electoral systems, through the support to domestic citizen election observation organisations and their regional networks. Democracy shall be strengthened by upholding the main pillars of democratic systems, democratic norms and principles, free, independent and pluralistic media, both online and offline, internet freedom, the fight against censorship, accountable and inclusive institutions, including parliaments and political parties, and the fight against corruption. Union assistance shall support civil society action in strengthening the rule of law, promoting the independence of the judiciary and of the legislature, supporting and evaluating legal and institutional reforms and their implementation, monitoring democratic and electoral systems and promoting access to affordable justice for all, including to effective and accessible complaint and redress mechanisms at national and local level.
Election observation shall play a full part in the wider support for the democratic processes. Within this context, EU election observation shall continue to be a major component of the programme as well as the follow-up to recommendations of EU election observation missions.
Areas of intervention 1 and 2 shall contribute to strengthening cooperation and partnership with civil society working on human rights and democracy, including in sensitive situations, and fostering new regional and cross-regional synergies, by means of knowledge sharing, including best practices sharing, and networking building among local civil society and between civil society and other relevant human rights bodies and mechanisms to enhance their capacities, including their resilience, and develop a compelling narrative on human rights and democracy with a multiplying effect.
Promoting effective multilateralism and strategic partnership, contributing to reinforcing capacities of international, regional and national instruments and mechanisms in promoting and protecting human rights, democracy and the rule of law. Strategic Partnerships shall be boosted, with a particular attention to the Office of the High Commissioner for Human Rights, the International Criminal Court and other relevant international, regional and national human rights mechanisms. Furthermore, the programme shall promote education and research on human rights and democracy, including through the Global Campus of Human Rights.
2. AREAS OF INTERVENTION FOR CIVIL SOCIETY ORGANISATIONS
1. Inclusive, participatory, empowered and independent civil society and democratic space in partner countries
Creating an enabling and accessible environment for citizen participation and civil society action, including through foundations by supporting active civil society participation in policy dialogues and the consolidation of dialogue platforms for non-state actors;
Supporting and building the capacity of civil society organisations, and foundations, to act as both actors of development and good governance in their own right;
Capacity building for civil society organisations for their support of vulnerable and marginalised groups by providing basic social services such as health - including nutrition, education, social protection, and access to safe water, sanitation and hygiene;
Supporting and empowering women’s organisations and other relevant organisations working on gender equality as well as women human rights defenders to have the opportunity to work and be protected against threats and violence;
Increasing the capacity of civil society networks, platforms and alliances in partner countries;
Enabling civil society to carry out their work, through, inter alia, capacity building, coordination and institutional strengthening for civil society organisations, taking into account the importance of enabling space for their actions and access to funding, including to engage within their organisations and between different types of stakeholders. Fostering dialogue between civil society organisations and governments on public policy.
2. Inclusive and open dialogue with and between civil society actors
Promoting inclusive multi-stakeholder dialogue fora, including interaction and coordination between citizens, civil society, local authorities, Member States, partner countries, the private sector and other key development stakeholders;
Enabling cooperation and exchange of knowledge and experience between and with civil society actors domestically and internationally;
Fostering cooperation and partnerships of civil society organisations with international intergovernmental organisations, including capacity building aimed at promoting and monitoring the implementation of international and regional instruments, including those concerning human rights, justice, the rule of law and democracy;
Ensuring a substantive and continued structured dialogue and partnerships with the Union.
3. Awareness, understanding, knowledge and engagement of European citizens regarding development issues
Empowering people to increase their engagement on development issues and the SDGs, including through raising public awareness, promoting formal, informal and non-formal education for development, especially among youth, and promoting knowledge sharing between the relevant actors, focusing on the Union Member States, candidate and potential candidate countries;
Mobilising public support in the Union, candidate countries and potential candidates for sustainable and inclusive development strategies, including poverty reduction, in partner countries.
3. AREAS OF INTERVENTION FOR PEACE, STABILITY AND CONFLICT PREVENTION
1. Assistance for conflict prevention, peacebuilding and crisis preparedness
The Union shall provide technical and financial assistance covering support for conflict-sensitive measures aimed at building and strengthening the capacity of the partners to analyse risks, prevent conflict, build peace and address pre- and post-crisis needs in close coordination with the UN and other international, regional and sub-regional organisations, and State, civil society and local authorities actors, in relation to their efforts mainly in the following areas, including specific attention to gender equality, ensuring the effective participation and empowerment of women and youth:
early warning and conflict-sensitive risk analysis in policy-making and the implementation of policy;
facilitation and building capacity in confidence-building, mediation, dialogue and reconciliation measures, including at community level, with particular regard to emerging inter-community tensions, especially with a view to the prevention of genocide and crimes against humanity;
strengthening capacities for participation and deployment in civilian stabilisation, peacekeeping and peacebuilding missions;
improving post-conflict recovery as well as post-disaster recovery, with relevance to the political and security situation;
supporting stabilisation, safety of individuals and human security restoration measures, including mine action, demining and transitional justice in line with relevant multilateral agreements;
supporting peacebuilding and state-building actions, involving, where appropriate, civil society organisations, states and international organisations, as well as strengthening state-society relations;
contributing to the further development of structural dialogue on peacebuilding issues at various levels, between civil society and partner countries, and with the Union;
crisis response and preparedness;
curbing the use of natural resources to finance conflicts, and supporting compliance by stakeholders with initiatives such as the Kimberley Process Certification Scheme, and including legal acts such as Regulation (EU) 2017/821, especially as regards the implementation of efficient domestic controls over the production of, and trade in, natural resources;
capacity building of military actors in support of development and security for development in accordance with Article 9;
supporting actions promoting gender equality and women’s empowerment, in particular through implementation of UNSCRs 1325 (2000) and 2250 (2015) as well as participation and representation of women and youth in formal and informal peace processes;
promoting a culture of non-violence, including by supporting formal, informal and non-formal peace education;
supporting actions strengthening the resilience of states, societies, communities and individuals, including resilience assessments designed to identify the endogenous capacities within societies that allow them to withstand, adapt to and quickly recover from pressures and shocks;
supporting international criminal tribunals and ad hoc national tribunals, truth and reconciliation commissions, transitional justice and other mechanisms for the legal settlement of human rights claims and the assertion and adjudication of property rights;
supporting measures to combat the illicit use of, and access to, firearms, small arms and light weapons;
supporting know-how transfer, the exchange of information and best practices, risk or threat assessment, research and analysis, early warning systems, training and service delivery.
2. Assistance in addressing global and trans-regional threats and emerging threats
The Union shall provide technical and financial assistance to support partners’ efforts and Union actions addressing global and trans-regional threats and emerging threats mainly in the following areas:
threats to law and order, and to the security and safety of individuals including terrorism, radicalisation leading to violent extremism, organised crime, cyber-crime, hybrid threats, illicit trafficking, trade and transit; in particular strengthening the capacity of law enforcement and judicial and civil authorities involved in the fight against terrorism, organised crime, including cyber-crime;
threats to public spaces, critical infrastructure, including international transport, including passenger and freight traffic, energy operations and energy distribution, cybersecurity;
threats to public health, including sudden epidemics with a potential trans-national impact;
threats to environmental stability, maritime security threats, threats having a potentially destabilising impact on peace and security, deriving from climate change impacts;
mitigation against risks, whether of an intentional, accidental or natural origin, related to chemical, biological, radiological and nuclear materials or agents and risks to related installations or sites, or explosive remnants of wars and conflicts, in particular in the following areas:
supporting and promoting civilian research activities as an alternative to defence-related research;
enhancing safety practices related to civilian facilities where sensitive chemical, biological, radiological and nuclear materials or agents are stored or are handled in the context of civilian research programmes;
supporting, within the framework of Union cooperation policies and their objectives, the establishment of civil infrastructure and relevant civilian studies necessary for the dismantlement, remediation or conversion of weapons-related facilities and sites where these are declared to be no longer part of a defence programme;
strengthening the capacity of the competent civilian authorities involved in the development and enforcement of effective control of illicit trafficking in chemical, biological, radiological and nuclear materials or agents (including the equipment for their production or delivery);
developing the legal framework and institutional capacities for the establishment and enforcement of effective export controls, in particular on dual-use goods, including regional cooperation measures and as regards the implementation of the provisions of the Arms Trade Treaty and the promotion of adherence to it;
developing effective civilian disaster-preparedness, emergency planning and response, and capabilities for clean-up measures.
Where applicable, these activities shall be coherent with those of the European Instrument for International Nuclear Safety Cooperation;
capacity building of military actors in support of development and security for development, in accordance with Article 9.
Priority shall be given to trans-regional cooperation involving two or more third countries which have demonstrated a clear political will to address the aforementioned threats.
The measures shall place particular emphasis on good governance and shall be in accordance with international law. Cooperation in the fight against terrorism may also be conducted with individual countries, regions or international, regional and sub-regional organisations.
With regard to assistance to authorities involved in the fight against terrorism, priority shall be given to supporting measures concerning the development and strengthening of counter-terrorism laws, the implementation and practice of financial law, of customs law and of immigration law, the development of law-enforcement procedures which are aligned with the highest international standards and which comply with international law, the strengthening of democratic control and institutional oversight mechanisms, and the prevention of violent radicalism.
With regard to assistance relating to the problem of drugs, due attention shall be given to international cooperation aimed at promoting best practices relating to the reduction of demand, production and harm.
4. AREAS OF INTERVENTION FOR GLOBAL CHALLENGES
Developing crucial elements of an effective and comprehensive health system, including communicable diseases, that are best addressed at a global level to secure equitable, affordable, inclusive and universal access to health services, including those referred to in Article 8(4);
Promoting, providing and expanding essential services and psychological support services for victims of violence, in particular women and children rape victims;
Reinforcing global initiatives that are key enablers of universal health coverage through global leadership on a ‘health in all policies’ approach with a continuum of care, including health promotion, from prevention to post-treatment;
Addressing global health security and antimicrobial resistance through communicable diseases research, including on poverty-related and neglected and vaccine-preventable diseases and control, combating fake medicines, translating knowledge into safe, accessible and affordable products (including generic medicines) and diagnostics and related health technologies, and policies that tackle the changing disease burden (non-communicable diseases, all forms of malnutrition and environmental risk factors), and shape global markets to improve access to affordable essential health commodities and health services, including those referred to in Article 8(4);
Supporting global initiatives for the development of safe, efficient and affordable vaccines.
Promoting the achievement of internationally agreed goals in education through joint global efforts for accessible, inclusive and equitable quality education and training, including of teachers, at all levels, for all ages, also in emergency and crisis situations and with a particular priority on strengthening free education systems;
Strengthening knowledge, skills and values through partnerships and alliances, including support for education data and analysis, research and innovation, knowledge exchange, and education networks, for active citizenship and productive, educated, democratic, inclusive and resilient societies;
Supporting global action on reducing all dimensions of discrimination and inequalities, such as the gaps between girls/women and boys/men, and between different groups in society, to ensure that everyone has equal opportunity to take part in economic, political, social and cultural life;
Supporting inclusive and quality education in fragile environments;
Supporting actions and promoting cooperation in the area of sport to contribute to the empowerment of women and of young people, individuals and communities.
3. Gender equality and women’s and girls’ empowerment
Committing to advance gender equality and girls’ and women’s empowerment in all spheres; including support to establish a more enabling economic, political and social environment for the fulfilment of girls’ and women’s rights that will enable them to fully participate in society, have equal opportunities for leadership in social, economic, political and civil life and be a driver of development;
Leading and supporting global efforts, partnerships and alliances for the rights of women and girls, as set out in the UN Convention on the Elimination of All Forms of Discrimination against Women and the Optional Protocol thereto to eliminate all forms of discrimination against women and girls, including exclusion that women suffer in the different areas of their private and public lives such as the labour market and access to social and health services;
Leading and supporting global efforts, partnerships and alliances for the rights of women to eliminate all forms of violence, harmful practices against women and girls, including physical, psychological, sexual and gender-based violence, female genital mutilation, as well as forced, early and child marriage and economic, political and other types of violence and discrimination, including in crisis situations as well as the exclusion that women suffer in the different areas of their private and public lives;
Addressing root causes of gender inequalities as a means of supporting conflict prevention and peacebuilding; promoting the empowerment of women, including in their roles as development actors and peacebuilders;
Promoting the protection and fulfilment of all women’s and girls’ rights, including those referred to in Article 8(4);
Promoting the protection and fulfilment of rights of women and girls, including economic, political, labour and social rights and those referred to in Article 8(4).
4. Children and Youth
Promoting universal access to all social and health services for children and youth, including the most marginalised, with a focus on health, nutrition, education, social protection, and early childhood development, including through dedicated youth friendly services;
Promoting new initiatives to build stronger child protection systems in third countries, ensuring that children get the best start in life and are protected in all areas from violence, abuses and neglect, including by promoting the transition from institutional to community-based care for children;
Promoting children’s and young people’s empowerment by opening spaces for their active and meaningful participation in matters that concern them, in particular to political life and to peace process and mediation efforts, by supporting initiatives of inter-cultural dialogue among youth organisations and by preventing marginalisation and exclusion;
Stepping up assistance to youth to support them in acquiring relevant skills and in accessing decent and quality jobs through education, vocational and technical training, as well as digital technologies;
Promoting youth empowerment and responsible citizenship, by opening spaces for their active and meaningful participation in political life and in peace process and mediation efforts, by supporting initiatives of inter-cultural dialogue among youth organisations and by preventing marginalisation and exclusion;
Creating an enabling environment that provides new and innovating opportunities for youth civic engagement, youth entrepreneurship and youth employment.
5. Migration, forced displacement and mobility
Ensure continued Union leadership in shaping the global agenda on migration and forced displacement governance in all its dimensions, particularly to facilitate orderly, safe, regular and responsible migration, in line with human rights, and international refugee law and international humanitarian law;
Steering and supporting global and cross-regional policy dialogues, including on South-South migration, and exchange and cooperation on migration and forced displacement;
Supporting the implementation of international and Union commitments on migration and forced displacement, including at UN level;
Improving the global evidence base, including on the migration/development nexus, and initiate actions of pilot character aiming at developing innovative operational approaches in the area of migration and forced displacement;
Boosting strategic partnerships with relevant international organisations to support international cooperation and migration governance according to international human rights law and international refugee law.
Cooperation in this area will be managed in coherence with migration-relevant Union regulations, in full respect of the principle of policy coherence for development.
6. Decent work, social protection, inequality and inclusion
Shaping the global agenda and support initiatives on the integration of a strong pillar on equity and social justice in accordance to European values;
Contributing to the global agenda on decent work for all in a healthy environment, on the basis of the core ILO labour standards, including on social dialogue, living wages and the fight against child labour, corporate social responsibility, in particular in making global value chains sustainable and responsible, and enhancing knowledge on effective gender-responsive employment policies that respond to labour market needs and promote socio-economic inclusion, including vocational education and training and life-long learning;
supporting global initiatives on business and human rights, including corporate accountability for rights violations and access to remedies;
Supporting global initiatives on universal social protection that follow the principles of efficiency, sustainability and equity; including support to address inequality in order to enhance gender equality and social cohesion, in particular with the setting-up and strengthening of sustainable social protection systems, social insurance schemes;
Continuing global research and development through social innovation that enhances social inclusion and addresses the rights and specific needs of the most vulnerable sections of society;
Promoting and supporting efforts to make social, political and economic life more inclusive and to address socio-economic drivers of conflict.
Promoting initiatives for cultural diversity, intercultural and interreligious dialogue for peaceful inter-community relations;
Supporting culture as an engine for sustainable social and economic development and reinforcing cooperation on, and preservation of, cultural heritage;
Developing local crafts, as a means to preserve local cultural heritage and foster sustainable development;
Reinforcing cooperation on safeguarding, conservation and enhancement of cultural heritage, including the preservation of particularly vulnerable cultural heritage, in particular from minority and isolated communities and indigenous peoples as set out in the UNDRIP;
Supporting agreements for the return of cultural property to their countries of origin;
Supporting cultural cooperation, including through exchanges, partnerships and other initiatives and the recognition of the professionalism of authors, artists and cultural and creative operators;
Supporting cooperation and partnerships among sport organisations.
1. Ensuring a healthy environment and tackling climate change
Strengthening global climate and environmental governance, the implementation of the Paris Agreement, the UN Convention on Biological Diversity, the UN Framework Convention on Climate Change and the UN Convention to Combat Desertification and other multilateral environmental agreements;
Contributing to the external projection of the Union’s environment and climate change policies;
Integrating environment, ecosystems and biodiversity conservation, climate change, disaster risk reduction and preparedness objectives in policies, plans and investments including through improved knowledge and information;
Implementing international and Union initiatives to promote climate change adaptation and mitigation and climate-resilient low-emission development, including through the implementation of the NDCs and long-term low emission and climate-resilient strategies, promoting disaster risk reduction, address environmental degradation and halting biodiversity loss, promoting the conservation and sustainable use and management of terrestrial and marine ecosystems and renewable natural resources, including land, water, oceans, fisheries and forests, promoting forestation and protection of natural forest, addressing deforestation, desertification, land degradation, illegal logging and wildlife trafficking, tackling pollution, including marine litter, and ensuring a healthy environment, addressing climate and environmental issues, including displacement due to natural disasters, promoting resource efficiency, sustainable consumption and production, integrated water resource management and the sound management of chemicals and waste and supporting the transition to low emission, climate-resilient green and circular economies, as well as promoting corporate responsibility and a responsible business conduct;
Promoting environmentally sustainable agricultural practices, including agro-ecology, in order to protect ecosystems and biodiversity and enhance environmental and social resilience to climate change, with a particular focus on supporting smallholder farmers, workers and artisans;
Implementing international and Union initiatives to address biodiversity loss, promoting the conservation, sustainable use and management of terrestrial and marine ecosystems and associated biodiversity;
Promoting phase-out of environmentally harmful fossil fuel subsidies, encouraging adoption of cost-reflective tariffs by energy utilities, and exploring more cost-effective and climate-friendly alternatives for social protection.
2. Sustainable Energy
Supporting global efforts, commitments, partnerships and alliances, including sustainable energy transition;
Promoting energy security for partner countries and local communities, including diversification of sources and routes, considering price volatility issues, emission reduction potential, improving markets and fostering energy and, in particular, electricity interconnections and trade;
Encouraging partner governments to embrace energy sector policy and market reforms so to establish a conducive environment for inclusive growth and investments increasing access to energy services for all that are climate-friendly, affordable, modern, reliable and sustainable, with priority to renewable energy and energy efficiency;
Exploring, identifying, mainstreaming globally and supporting financially sustainable business models with scalability and replicability potential providing innovative and digital technologies through innovative research ensuring increased efficiency, in particular for decentralised approaches providing energy access through renewable energy including in areas where the local market capacity is limited.
1. Sustainable and inclusive growth, decent jobs and private sector engagement
Promoting sustainable private investment through innovative financing mechanisms and risk-sharing;
Improving business environment and investment climate, developing a socially and ecologically responsible local private sector, supporting enhanced public-private dialogue, and building capacities, competitiveness and resilience of local SMEs and start-ups, as well as of cooperatives and social enterprises, and their integration into the local, regional and global economy;
Promoting financial inclusion by fostering access to and effective use of financial services, such as micro-credit and savings, micro-insurance and payment transfer, by SMEs and households, in particular disadvantaged and vulnerable groups;
Supporting the implementation of the Union trade policy and trade agreements, in line with sustainable development; strengthening partner countries’ capacities to trade and improving access to partner country markets and boosting fair trade, responsible and accountable investment and business opportunities for companies from the Union while eliminating barriers to market access and investment, as well as aiming at easing access to climate-friendly technologies, while ensuring as much as possible added value sharing and human rights due diligence in supply chains, taking into account policy coherence for development;
Promoting an effective policy mix supportive of economic diversification, value addition, and regional integration and sustainable green and blue economy;
Fostering access to digital technologies, including promoting access to finance and financial inclusion, as well as e-commerce;
Promoting sustainable consumption and production and innovative technologies and practices for low-emission, resource efficient and circular economy;
Strengthening social and environmental sustainability, corporate social responsibility and responsible business conduct throughout the entire value chains;
Combating money laundering, corruption, illicit financial flows as well as tax evasion and avoidance. Promoting progressive taxation, anti-corruption measures and policies for redistributive public expenditures;
Promoting inclusive growth, including by promoting and supporting women’s and youth’s participation and by proactively identifying and addressing economic marginalisation of specific groups.
2. Food and nutrition security
Supporting and influencing international strategies, organisations, mechanisms and actors that roll-out major global policy issues and frameworks around sustainable food and nutrition security, reducing fragmentation in the global nutrition architecture and contributing to accountability on international commitments on food security, nutrition and sustainable agriculture;
Improving global public goods pursuing an end to hunger and malnutrition; ensuring equitable access to food including by helping to address the financing gap for nutrition, including through tools such as the Global Network on Food Crises to enhance the capacity to adequately respond to food crises and nutrition;
Improving in a coordinated and accelerated manner cross-sectoral efforts to increase capacity for diversified local and regional food production, ensure nutritional and food security and access to drinking water, and enhance the resilience of the most vulnerable, particularly in countries facing protracted or recurrent crises;
Reaffirming at global level the central role of sustainable agriculture and fisheries and aquaculture, including smallholder agriculture, livestock-keeping and pastoralism for increased food security, poverty eradication, job creation, equitable and sustainable access to, and management of resources, including land and land rights, water, open source seeds and other agricultural inputs and (micro) credit, mitigating and adapting to climate change, resilience and healthy ecosystems;
Providing innovations through international research and reinforce global knowledge and expertise, promotion and reinforcement of local and autonomous adaptation strategies, in particular related to climate change adaptation and mitigation, agrobiodiversity, global and inclusive value chains, fair trade, food safety, responsible investments, governance of land and natural resource tenure.
1. Strengthen the role of local authorities as actors of development through:
Increasing the institutional and operational capacity of European and partner countries’ local authorities and their networks and alliances, as development actors and partners in policy-making to contribute to the formulation, implementation and monitoring of policies and agreements with a focus on the interests of local communities; to enhance their role in raising awareness about decentralisation reform, local and urban development; to ensure a substantive and continued structured policy dialogue in the field of development and to promote democratic governance, in particular through the Territorial Approach to Local Development including decentralisation processes, participation and accountability;
Increasing interactions with European citizens on Development Education and Awareness Raising (including knowledge sharing and engagement), in particular in relation to the SDGs, including in the Union and associated territories as well as candidate countries and potential candidate countries.
2. Promote inclusive societies and multi-stakeholder initiatives, good economic governance, including fair and inclusive domestic revenue mobilisation, especially in the context of international tax cooperation by implementing measures against tax avoidance and evasion, transparent public finance management and effective and inclusive public spending in line with human rights obligations and principles of good governance.
3. Support the assessment and documentation of progress in implementing partnership and effectiveness principles.
AREAS OF INTERVENTION FOR RAPID RESPONSE ACTIONS
1. Actions contributing to peace, stability and conflict prevention in situations of urgency, emerging crisis, crisis and post-crisis, including those which may result from migratory flows and forced displacement.
Rapid response actions referred to in point (a) of Article 4(4) shall be designed for an effective, efficient, integrated and conflict sensitive Union response to the following exceptional and unforeseen situations:
a situation of urgency, crisis, fragility, hybrid threats, emerging crisis or natural disasters, where relevant for stability, peace and security;
a situation posing a threat to peace, democracy, law and order, the protection of human rights and fundamental freedoms, or the security and safety of individuals, in particular those exposed to sexual and gender-based violence in situations of instability;
a situation threatening to escalate into armed conflict or to severely destabilise the third country or countries concerned.
Those rapid response actions may cover the following:
support, through the provision of technical and logistical assistance, for the efforts undertaken by international, regional and local organisations and by State and civil society actors in promoting confidence-building, mediation, dialogue and reconciliation, transitional justice, women’s and youth empowerment, in particular with regard to community tensions and protracted conflicts;
support for the implementation of UNSCRs on women, youth, peace and security;
support for the establishment and functioning of interim administrations mandated in accordance with international law;
support for the development of democratic, pluralistic state institutions, including measures to enhance the role of women in such institutions, effective civilian administration and civilian oversight over the security system, as well as measures to strengthen the capacity of law-enforcement and judicial authorities involved in the fight against terrorism, organised crime and all forms of illicit trafficking;
support for international criminal tribunals and ad hoc national tribunals, truth and reconciliation commissions, transitional justice and other mechanisms for the legal settlement of human rights claims and the assertion and adjudication of property rights;
support for reinforcement of State capacity - in the face of significant pressures to rapidly build, maintain or restore its core functions, and basic social and political cohesion;
support for measures necessary to start the rehabilitation and reconstruction of key infrastructure, housing, public buildings and economic assets, and essential productive capacity, as well as other measures for the re-starting of economic activity, the generation of employment and the establishment of the minimum conditions necessary for sustainable social development;
support for civilian measures related to the demobilisation and reintegration of former combatants and their families into civil society, and where appropriate their repatriation, as well as measures to address the situation of child soldiers and female combatants;
support for measures to mitigate the social effects of restructuring the armed forces;
support for measures to address, within the framework of Union cooperation policies and their objectives, the socio-economic impact on the civilian population of anti-personnel landmines, unexploded ordnance or explosive remnants of war. Activities financed under the Instrument may cover, inter alia, risk education, mine detection and clearance and, in conjunction therewith, stockpile destruction;
support for measures to combat, within the framework of Union cooperation policies and their objectives, the illicit use of and access to firearms, small arms and light weapons;
support for measures to ensure that the specific needs of women and children in crisis and conflict situations, including preventing their exposure to gender-based violence, are adequately met;
support for the rehabilitation and reintegration of the victims of armed conflict, including measures to address the specific needs of women and children;
support for measures to promote and defend respect for human rights and fundamental freedoms, democracy and the rule of law, and the related international instruments;
support for socio-economic measures to promote equitable access to, and transparent management of, natural resources in a situation of crisis or emerging crisis, including peacebuilding;
support for measures to address the potential impact of sudden population movements with relevance to the political and security situation, including measures addressing the needs of host communities;
support for measures to promote the development and organisation of civil society and its participation in the political process, including measures to enhance the role of women in such processes and measures to promote independent, pluralist and professional media;
support for measures in response to natural or man-made disasters which pose a threat to stability, and to threats to public health linked to pandemics, in the absence of, or by way of complement to, Union humanitarian and civil protection assistance;
capacity building of military actors in support of development and security for development, in accordance with Article 9.
2. Actions contributing to strengthening resilience and linking humanitarian aid, development actions and, where relevant, peacebuilding
Rapid response actions referred to in point (b) of Article 4(4) shall be designed to effectively strengthen resilience and to increase coordination, coherence and complementarity between humanitarian aid, development actions and, where relevant, peacebuilding which cannot be swiftly addressed through geographic and thematic programmes.
Those rapid response actions may cover the following:
strengthen resilience, tackle factors of fragility and address potential drivers of conflict by supporting individuals, communities, institutions, and countries to better prepare for, withstand, adapt to and quickly recover from political, economic, and societal pressures and shocks, natural or man-made disasters, conflicts, pandemics and global threats, including by identifying and strengthening their existing capacities; by reinforcing the capacity of a state - in the face of significant pressures to rapidly build, maintain or restore its core functions, and basic social and political cohesion, as well as supporting societies, communities and individuals to manage opportunities and risks in a peaceful and conflict sensitive manner and to build, maintain or restore livelihoods and social services in the face of major pressures by supporting relevant international and multilateral initiatives for the same ends;
mitigate the short-term adverse effects resulting from exogenous shocks creating macroeconomic instability and aim at safeguarding socio-economic reforms and priority public expenditure for socio-economic development and poverty reduction;
carry out short-term rehabilitation and reconstruction to enable the victims from natural or man-made disasters, conflicts and global threats to benefit from a minimum of socio-economic standards and, as soon as possible, create the conditions for a resumption of development on the basis of long-term objectives set by the countries and regions concerned and affected populations; this includes addressing the urgent and immediate needs arising from the displacement of people and the communities that host them following natural or man-made disasters;
assist the region, state, at national or local level, or relevant international or civil society organisations, in setting up short term disaster prevention and preparedness mechanisms, including for prediction and early warning, with a view to reducing the consequences of disasters;
support measures operationalising integrated approaches particularly by improving coordination and the application of conflict sensitive approaches by humanitarian, development and, where relevant, peacebuilding actors.
3. Actions addressing Union foreign policy needs and priorities
Rapid response actions to support the objectives set out in point (c) of Article 4(4) shall support Union foreign policy across political, economic and security issues. Those actions shall enable the Union to act where there is an urgent or imperative foreign policy interest, or a window of opportunity to achieve its objectives, requiring a rapid reaction and which are difficult to address by other means.
Those rapid response actions may cover the following:
support for the Union’s bilateral, regional and inter-regional cooperation strategies, promoting policy dialogue and developing collective approaches and responses to challenges of global concern, such as migration and forced displacement, climate change and security issues, including mediation, and exploiting windows of opportunity in this regard;
support for Union trade policy and the negotiation, implementation and enforcement of trade agreements; and for improving access to partner country markets and boosting trade, investment and business opportunities for companies from the Union, in particular SMEs, while eliminating barriers to market access and investment and protecting intellectual property rights, by means of economic diplomacy, business and regulatory cooperation, with the adaptations necessary for the specific situation of the partner country, taking into account the principle of policy coherence for development as laid down in Articles 208 and 212 TFEU and the international commitments referred to in Article 3(1) of this Regulation;
contributions to the implementation of the international dimension of internal Union policies such as, inter alia, environment, climate change, energy, science and education and cooperation on management and governance of the oceans as well as supporting regulatory convergence;
promotion of widespread understanding and visibility of the Union and of its role on the world scene, by means of strategic communication, public diplomacy, people-to-people contacts, cultural diplomacy, cooperation in educational and academic matters, and outreach activities to promote the Union’s values and interests.
Those rapid response actions shall execute innovative policies or initiatives, corresponding to current or evolving short- to medium-term needs, opportunities and priorities, including with the potential of informing future actions under geographic or thematic programmes. Those actions shall focus on deepening the Union’s relations and dialogue and building partnerships and alliances with key countries of strategic interest, especially those emerging economies and middle-income countries who play an increasingly important role in world affairs, global governance, foreign policy, the international economy, and multilateral fora.
PRIORITY AREAS OF THE EFSD+ OPERATIONS COVERED BY THE EXTERNAL ACTION GUARANTEE
The EFSD+ operations eligible for support through the External Action Guarantee shall in particular aim at the following priority areas:
provide finance and support to private and cooperative sector development that complies with the conditions set out in Article 209(2) of the Financial Regulation and in line with the purpose of Article 31(2) of this Regulation, with a particular focus on local companies and SMEs, on promoting decent job creation on the basis of the core ILO labour standards and encouraging the contribution of European companies to the EFSD+ purpose;
address bottlenecks to private investments by providing financial instruments, which may be denominated in the local currency of the partner country concerned, including first loss guarantees to portfolios, guarantees to private sector projects such as loan guarantees for SMEs, and guarantees for specific risks for infrastructure projects and other risk capital;
leverage private sector financing, with a particular focus on SMEs, by addressing bottlenecks and obstacles to investment;
strengthen socio-economic sectors and areas and related public and private infrastructure and sustainable connectivity, including renewable and sustainable energy, water and waste management, transport, information and communications technologies, as well as environment, sustainable use of natural resources, sustainable agriculture and blue economy, sustainable forest management and landscape restoration, social infrastructure, health, and human capital, in order to improve the socio-economic environment;
contribute to climate action and environmental protection and management;
contribute by promoting sustainable development, to addressing specific socio-economic root causes of irregular migration and root causes of forced displacement, and contributing to the sustainable reintegration of returned migrants in their countries of origin, as well as fostering the resilience of transit and host communities, with due regard to the strengthening of the rule of law, good governance and human rights.
LIST OF KEY PERFORMANCE INDICATORS
In coherence with the SDGs, the following non-exhaustive list of key performance indicators shall be used to help measure the Union’s contribution to the achievement of the specific objectives of the Instrument:
The Rule of Law score in relation to countries benefiting from Union assistance.
Proportion of population below the international poverty line by sex, age, employment status and geographical location (urban/rural).
Number of women of reproductive age, adolescent girls, and children under 5 reached by nutrition programmes with Union support.
Number of smallholders reached with Union supported interventions aimed to increase their sustainable production, access to markets and/or security of land.
Number of 1-year olds fully immunised with Union support.
Number of students enrolled in education: (a) primary education (b) secondary education; and number of people who have benefitted from institution or workplace-based vocational education and training / skills development interventions, supported by the Union.
Greenhouse gas emissions avoided (Ktons CO2eq) with Union support.
Area of marine, terrestrial and freshwater ecosystems protected and/or sustainably managed with Union support.
Leverage of investments and multiplier effect achieved.
Number of individuals directly benefiting from Union supported interventions that specifically aim to support civilian post-conflict peace building or conflict prevention.
Number of processes related to partner country practices on trade, investment and business, or promoting the external dimension of Union internal policies or Union interest, which have been influenced.
Number of individuals with access to improved drinking water source and/or sanitation facilitation with Union support.
Number of migrants, refugees and internally displaced people or individuals from host communities protected or assisted with Union support.
Number of countries and cities with climate change and/or disaster risk reduction strategies (a) developed or (b) under implementation with Union support.
Number of SMEs applying sustainable consumptions and productions practice with Union support.
Renewable energy generation capacity installed (MW) with Union support.
Proportion of Union funded cooperation promoting gender equality and women’s empowerment.
Number of victims of human right violations directly benefiting from assistance funded by the Union.
Number of Union funded initiatives supporting the implementation of political, economic and social reforms and joint agreements in partner countries.
All indicators referring to individuals shall be disaggregated, whenever possible, by sex, in particular to monitor progress towards gender equality, and age.
All indicators shall be disaggregated by the Instrument’s geographic areas whenever possible.
( 1 ) Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment (OJ L 26, 28.1.2012. p. 1).
( 2 ) Council Directive 85/337/EEC of 27 June 1985 on the assessment of the effects of certain public and private projects on the environment (OJ L 175, 5.7.1985. p. 40).
( 3 ) Regulation (EU) 2017/821 of the European Parliament and of the Council of 17 May 2017 laying down supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold originating from conflict-affected and high-risk areas (OJ L 130, 19.5.2017, p. 1).